https://www.taxtmi.com/caselaws?id=773779 SEBI found the investment advisor guilty of multiple regulatory violations including non-compliance with employee certification requirements, failure to maintain proper records and call recordings, charging clients without agreements, receiving fees in personal accounts, providing unauthorized free trials, using misleading risk profiling questionnaires, operating from unregistered premises, failing to publish investor charter, and posting fake testimonials. The advisor failed to respond to the show cause notice despite reminders. SEBI accepted the designated authority's recommendations for enforcement action against the non-compliant advisor. en-us Tue, 27 May 2025 00:00:00 +0530 Sat, 28 Jun 2025 08:31:57 +0530 TaxTMI RSS Generator https://www.taxtmi.com/caselaws?id=773779 SEBI found the investment advisor guilty of multiple regulatory violations including non-compliance with employee certification requirements, failure to maintain proper records and call recordings, charging clients without agreements, receiving fees in personal accounts, providing unauthorized free trials, using misleading risk profiling questionnaires, operating from unregistered premises, failing to publish investor charter, and posting fake testimonials. The advisor failed to respond to the show cause notice despite reminders. SEBI accepted the designated authority's recommendations for enforcement action against the non-compliant advisor. Case-Laws SEBI Tue, 27 May 2025 00:00:00 +0530 https://www.taxtmi.com/caselaws?id=773779