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The Board found the Noticee guilty of multiple violations of IA Regulations including non-compliance with employee certification requirements, failure to maintain proper records and call recordings, operating from unregistered premises, and charging clients without formal agreements. The Noticee received fees in personal accounts, sold similar products concurrently, provided unauthorized free trials, used misleading risk profiling questionnaires, failed to publish investor charter, and published fabricated testimonials. Despite being served a Post Enquiry SCN with proof of delivery and email reminder, the Noticee failed to submit any response by the prescribed deadline. The Board accepted the Designated Authority's recommendations and imposed sanctions for the established regulatory violations.
The Board found the Noticee guilty of multiple violations of IA Regulations including non-compliance with employee certification requirements, failure to maintain proper records and call recordings, operating from unregistered premises, and charging clients without formal agreements. The Noticee received fees in personal accounts, sold similar products concurrently, provided unauthorized free trials, used misleading risk profiling questionnaires, failed to publish investor charter, and published fabricated testimonials. Despite being served a Post Enquiry SCN with proof of delivery and email reminder, the Noticee failed to submit any response by the prescribed deadline. The Board accepted the Designated Authority's recommendations and imposed sanctions for the established regulatory violations.
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