Enquiry Proecedings in respect of Seema Jain - Research Analyst
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What is this order about?
SEBI examined Seema Jain, a registered research analyst, for alleged violations of securities regulations during her inspection period from April 2021 to October 2022.
Who it concerns
Seema Jain
What was found or directed
- SEBI found Seema Jain violated Regulation 7(2) of RA Regulations by not maintaining valid NISM certification from April 2, 2022 to March 1, 2023
- SEBI found Seema Jain violated RA Regulations by not maintaining records of research recommendations, public appearances, and rationale for recommendations
- SEBI found Seema Jain violated RA Regulations by not conducting annual audits within reasonable timeframe
- SEBI recommended suspension of Seema Jain's registration certificate for one month
- SEBI noted Seema Jain had corrected the certification issue and did not provide services without certification
- SEBI rejected Seema Jain's claim of double jeopardy for a prior penalty of ₹5,00,000
| Source body | Securities & Exchange Board of India (SEBI) — enforcement orders |
| Reference number | WTM/AS/MIRSD/MIRSD-SEC-4/32234/2025-26 |
| Status | closed (section: order) |
| Year | 2026 |
| Closing date | — |
| Documents | 1 |
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Documents
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Order
2026-03-18
ORDER_1773839703.pdf
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