▼ Bearish for SMC Global Securities

SEBI penalises SMC Global Securities over compliance and supervision lapses

3 sources · first seen 20:47 1 Oct · updated 17:01 2 Oct

The brief

Written from 3 reports · check the source before you trade

SEBI found SMC Global Securities failed to maintain appropriate pre-order placement records for certain clients
The penalty concerns lapses in supervising an authorised person
The penalty adds regulatory risk for SMC Global Securities and its shareholders

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3 reports · earliest 20:47