Tag
Investor Protection
5 articles
Investor protection measures are sharpening as regulatory bodies and listed companies reinforce compliance with unclaimed dividend and Know Your Customer (KYC) requirements. SEBI’s Appellate Authority is actively reviewing Right to Information (RTI) requests concerning PACL refunds, highlighting ongoing efforts to ensure transparency and accountability in resolving investor disputes. Simultaneously, several financial institutions, including J&K Bank, VLS Finance, and Trident Limited, are proactively notifying shareholders about impending transfers of unclaimed dividends and shares to the Investor Education and Protection Fund (IEPF), underscoring the importance of timely KYC updates and dividend claims to safeguard investor interests. These actions collectively signal a heightened focus on safeguarding investor assets and promoting responsible corporate governance.
SEBI Imposes ₹6 Lakh Penalty on Alliance Research
SEBI final order penalizes Mudassir Hasan ₹6 lakh for multiple violations as an investment adviser.
Violations include unregistered advisory activities, improper KYC/risk profiling, and charging unfai
Mohit Paper Mills Special Window Physical Securities
Mohit Paper Mills notifies shareholders of a SEBI-mandated special window open until February 4, 2027, for transfer and dematerialization of physical securities sold/purchased before April 1, 2019.
Tr
SEBI Dismisses PACL Investor RTI Appeal on Refund Status
SEBI Appellate Authority dismisses RTI appeal seeking PACL India refund status for three investor accounts.
Authority upholds CPIO response that refund information is not held by SEBI but by Justice L
SEBI Dismisses RTI Appeal on PACL Land Records
SEBI Appellate Authority dismissed an RTI appeal seeking certified PACL land allotment documents.
SEBI confirmed the requested information is not in its possession and is handled by the Justice Lodha
Trident Unclaimed Dividends Shares IEPF Transfer
Trident Limited notifies shareholders of impending transfer of unclaimed dividends and corresponding equity shares to the Investor Education and Protection Fund Authority.
The transfer affects dividen