sebi:WTM/ASB/WRO/WRO/25950/2023-24
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Facts / Headnote
Certificate of registration as Investment Adviser cancelled with immediate effect
Provisions invoked
- s. 19
- s. 12(3)
Regulations
- Reg. 23
- Reg. 27(5)
- Reg. 13(b)
- Reg. 27(1)
- Reg. 25(1)
- Reg. 21(1)
Parties
- Dwarka Prasad Gupta (Proprietor–HNI Research)
Holding
The Certificate of registration of Dwarka Prasad Gupta (Proprietor–HNI Research) as an Investment Adviser (No. INA000009728) is cancelled in exercise of powers under Section 12(3) and Section 19 of the SEBI Act, 1992 read with Regulation 27(5) of the Intermediaries Regulations, 2008.
Full text
__________________________________________________________________________________ Order in the matter of HNI Research (Proprietor – Dwarka Prasad Gupta) 2 / 6
__________________________________________________________________________________ Order in the matter of HNI Research (Proprietor – Dwarka Prasad Gupta) 3 / 6
__________________________________________________________________________________ Order in the matter of HNI Research (Proprietor – Dwarka Prasad Gupta) 4 / 6
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Source: SecMarx — sebi:WTM/ASB/WRO/WRO/25950/2023-24. 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.