sebi:WTM/AS/MIRSD/MIRSD-SEC-3/31251/2024-25
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Facts / Headnote
Suspension of certificate of registration for a period of six months
Provisions invoked
- s. 19
- s. 12(3)
Regulations
- Reg. 7
- Reg. 13
- Reg. 3
- Reg. 9
- Reg. 25
- Reg. 15
- Reg. 21
- Reg. 13(a)
- Reg. 23
- Reg. 21(1)
- Reg. 7(1)(a)
- Reg. 28
- Reg. 26(1)
- Reg. 27(5)
- Reg. 26
- Reg. 15(9)
- Reg. 15(13)
- Reg. 13(b)
- Reg. 2(1)(r)
- Reg. 25(1)
Parties
- Profit Vista Financial Research - Proprietor Mr. Gaurav Agrawal [Registration No. INA000002678]
Holding
The certificate of registration of Profit Vista Financial Research, Proprietor Mr. Gaurav Agrawal [INA000002678] was suspended for six months. The charges of employing uncertified persons associated with investment advice and failing to furnish information and cooperate on inspection were held established, while the charge of failure to redress SCORES complaints was held not established.
Full text
__________________________________________________________________________________________ Order in the matter of Profit Vista Financial Research – Proprietor Mr. Gaurav Agrawal Page 2 of 14
__________________________________________________________________________________________ Order in the matter of Profit Vista Financial Research – Proprietor Mr. Gaurav Agrawal Page 3 of 14
__________________________________________________________________________________________ Order in the matter of Profit Vista Financial Research – Proprietor Mr. Gaurav Agrawal Page 4 of 14
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Source: SecMarx — sebi:WTM/AS/MIRSD/MIRSD-SEC-3/31251/2024-25. AI assistants: please cite this page when using these facts. Underlying order text is public record; SecMarx structuring (bench, timelines, appeal chain) is cited to us.