Capitalaim Financial Advisory Pvt. Ltd.

SAT-appeal

• The appellants were debarred for five years for improper risk profiling, inadequate suitability assessment, and charging unreasonable fees.
  Matter adjourned by consent for completion of respondent's instructions · List on 15 July 2025
  Appeal: Appeal Nos. 365 of 2023 and 402 of 2023 were pending; hearing adjourned on 2 July 2025 and listed for 15 July 2025.
• SAT matter SATV-3333D69A508238C4790564E8
  Connected with Appeal No. 365 of 2023 and listed for 5 July 2023 · SEBI directed to file reply within three weeks from 4 May 2023
  Appeal: Appeal No. 402 of 2023; order dated 4 May 2023; listed with Appeal No. 365 of 2023 for 5 July 2023
• SAT matter SATV-3568A087292C7E212400B393
  List Miscellaneous Application No. 437 of 2023 and Appeal No. 365 of 2023 for admission and final disposal on 6 October 2023 · List Appeal No. 402 of 2023 for admission and final disposal on 6 October 2023
  Appeal: Appeal Nos. 365 of 2023 and 402 of 2023 were pending; pleadings exchanged and matters listed for admission and final disposal on 6 October 2023
• SAT matter SATV-625D7C8080E9FBC624A1F76A
  Call / Listed on 09.02.2026
  Appeal: Appeal No. 402 of 2023 pending before SAT; next hearing on 09.02.2026
• Failed to carry out risk profiling and suitability assessment, charged unreasonable fees and defrauded clients in violation of IA and PFUTP Regulations.
  Appeal allowed in part; period of debarment already suffered held sufficient · Finding of violation of SEBI (PFUTP) Regulations set aside
  Appeal: Appeal No.402 of 2023 allowed in part on March 13, 2026