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Sub Sub Section Intermediary Info For

1 to 25 of 128 records

Date	Type	Title
Sep 24, 2024	Circulars	Usage of UPI by individual investors for making an application in public issue of securities through intermediaries
Aug 29, 2024	Regulations	Securities and Exchange Board of India (Intermediaries) Regulations, 2008 [Last amended on August 29, 2024]
Aug 29, 2024	Regulations	Securities and Exchange Board of India (Intermediaries) (Amendment) Regulations, 2024
Jun 06, 2024	Master Circulars	Guidelines on Anti-Money Laundering (AML) Standards and Combating the Financing of Terrorism (CFT) /Obligations of Securities Market Intermediaries under the Prevention of Money Laundering Act, 2002 and Rules framed there under.
May 14, 2024	Public Notices	Names of the companies/Intermediaries/MIIs having complaints pending for more than 3 months on SCORES as on April 30, 2024
Apr 15, 2024	Public Notices	Names of the companies/Intermediaries/MIIs having complaints pending for more than 3 months on SCORES as on March 31, 2024
Mar 12, 2024	Public Notices	Names of the companies/Intermediaries/MIIs having complaints pending for more than 3 months on SCORES as on February 29, 2024
Feb 12, 2024	Public Notices	Names of the companies/Intermediaries/MIIs having complaints pending for more than 3 months on SCORES as on January 31, 2024
Jan 10, 2024	Public Notices	Names of the companies/Intermediaries/MIIs having complaints pending for more than 3 months on SCORES as on December 31, 2023
Dec 13, 2023	Public Notices	Names of the companies/Intermediaries/MIIs having complaints pending for more than 3 months on SCORES as on November 30, 2023.
Nov 13, 2023	Public Notices	Names of the companies/Intermediaries/MIIs having complaints pending for more than 3 months on SCORES as on October 31, 2023
Oct 13, 2023	Circulars	Amendment to the Guidelines on Anti-Money Laundering (AML) Standards and Combating the Financing of Terrorism (CFT) /Obligations of Securities Market Intermediaries under the Prevention of Money-laundering Act, 2002 and Rules framed there under.
Oct 10, 2023	Public Notices	Names of the companies/Intermediaries/MIIs having complaints pending for more than 3 months on SCORES as on September 30, 2023.
Sep 11, 2023	Public Notices	Names of the companies/Intermediaries/MIIs having complaints pending for more than 3 months on SCORES as on August 31, 2023
Aug 25, 2023	Reports	Consultation Paper on Association of SEBI Registered Intermediaries/Regulated Entities with Unregistered Entities (including Finfluencers)
Aug 10, 2023	Public Notices	Names of the companies/Intermediaries/MIIs having complaints pending for more than 3 months on SCORES as on July 31, 2023
Jul 07, 2023	Public Notices	Names of the companies/Intermediaries/MIIs having complaints pending for more than 3 months on SCORES as on June 30, 2023
Jun 16, 2023	Circulars	Amendment to Guidelines on Anti-Money Laundering (AML) Standards and Combating the Financing of Terrorism (CFT) /Obligations of Securities Market Intermediaries under the Prevention of Money Laundering Act, 2002 and Rules framed there under
Jun 10, 2023	Public Notices	Names of the companies Intermediaries MIIs having complaints pending for more than 3 months on SCORES as on May 31, 2023
May 11, 2023	Public Notices	Names of the companies/Intermediaries/MIIs having complaints pending for more than 3 months on SCORES as on April 30, 2023
Apr 26, 2023	Circulars	Procedure for implementation of Section 12A of the Weapons of Mass Destruction and their Delivery Systems (Prohibition of Unlawful Activities) Act, 2005 – Directions to stock exchanges and registered intermediaries
Apr 18, 2023	Takeovers	Thirdwave Financial Intermediaries Limited
Apr 10, 2023	Public Notices	Names of the companies/Intermediaries/MIIs having complaints pending for more than 3 months on SCORES as on March 31, 2023
Mar 10, 2023	Public Notices	Names of the companies/Intermediaries/MIIs having complaints pending for more than 3 months on SCORES as on February 28, 2023
Feb 10, 2023	Public Notices	Names of the companies/Intermediaries/MIIs having complaints pending for more than 3 months on SCORES as on January 31, 2023

1 to 25 of 128 records