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Angel One settles Sebi proceedings over lapses in monitoring authorised persons, pays Rs 4.28 crore
Angel One has settled Sebi's adjudication and enquiry proceedings by paying Rs 4.28 crore. The regulator had alleged supervisory and monitoring lapses involving two authorised persons, including failures in due diligence, inspection processes, fund collection oversight and scrutiny of unauthorised activities.
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economictimes.indiatimes.com
Angel One settles Sebi proceedings over lapses in monitoring authorised persons, pays Rs 4.28 crore
Angel One has settled Sebi's adjudication and enquiry proceedings by paying Rs 4.28 crore. The regulator had alleged supervisory and monitoring lapses involving two authorised…
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thehindubusinessline.com
Angel One pays SEBI ₹4.28 crore to settle a case over lapses in authorised person oversight
The broker failed to examine orders placed through common IP and MAC addresses for multiple clients, and did not identify trading through another broker
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Angel One settles SEBI case with ₹4.28 crore payment
Angel One has settled a securities law violation case with Sebi. The company paid ₹4.28 crore to resolve allegations of supervisory lapses. These lapses involved two authorised…