Tag: Code of conduct regulations

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SEBI Directs Nuvama Wealth and Investment to Enhance Business Conduct

SEBI warns Nuvama Wealth to be diligent in conducting business and report suspicious transactions. Broking firm receives a regulatory censure instead of suspension.

IIFL Securities to Challenge SEBI’s Client Onboarding Order in SAT

IIFL Securities is contesting a SEBI order that bans new clients for 2 years over 2014 code of conduct violations. Existing business remains unaffected.

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SEBI Directs Nuvama Wealth and Investment to Enhance Business Conduct

SEBI warns Nuvama Wealth to be diligent in conducting business and report suspicious transactions. Broking firm receives a regulatory censure instead of suspension.

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