sebi:WTM/AS/MIRSD/MIRSD_SEC_3/32233/2025-26
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Facts / Headnote
Registration certificate of the Noticee suspended for six months commencing from the date of renewal of its certificate, if any, by operation of law; DA's recommendation to cancel registration not adopted.
Provisions invoked
- s. 19
Regulations
- Reg. 3
- Reg. 16
- Reg. 9
- Reg. 10
- Reg. 17
- Reg. 16(2)
- Reg. 21(2)
- Reg. 15(1)
- Reg. 13(a)
- Reg. 21(1)
- Reg. 2(1)(q)
- Reg. 16(3)
- Reg. 16(1)
- Reg. 15A
- Reg. 3(1)
- Reg. 22(2)
- Reg. 27(5)
- Reg. 26
- Reg. 15(9)
- Reg. 16(b)
Parties
- CapitalVia Global Research Limited
Holding
The Noticee's registration certificate was suspended for six months from the date of renewal of its certificate, with violations established on 5 out of 8 counts including guaranteed returns to clients, public appearance as a research analyst, improper risk profiling, and incorrect suitability assessment.
Full text
_________________________________________________________________________________________ Order in the matter of CapitalVia Global Research Limited Page 2 of 63
_________________________________________________________________________________________ Order in the matter of CapitalVia Global Research Limited Page 3 of 63
_________________________________________________________________________________________ Order in the matter of CapitalVia Global Research Limited Page 4 of 63
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Source: SecMarx — sebi:WTM/AS/MIRSD/MIRSD_SEC_3/32233/2025-26. 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.