SEBI suspends research analyst's certificate for one month
This order addresses regulatory violations by Seema Jain, a SEBI-registered Research Analyst, including failure to maintain valid certifications, record-keeping issues, and trading during restricted periods. SEBI examined these findings to determine appropriate disciplinary action under the Intermediaries Regulations.
Seema Jain (SEBI Registration No. INH100006667)
- SEBI found the Noticee in violation of all alleged contraventions, including lack of requisite NISM certification, non-maintenance of records, and trading during restricted periods.
- The Designated Authority recommended suspension of the certificate of registration for one month.
- SEBI noted that the Noticee had already been imposed a penalty of ₹5,00,000/- through a previous adjudication order for the same set of violations.
- SEBI denied the request for a personal hearing at the post-enquiry stage because the recommendation was for suspension, not cancellation.
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Document details
| Official title | Enquiry Proecedings in respect of Seema Jain - Research Analyst |
| Source body | Securities & Exchange Board of India (SEBI) — enforcement orders |
| Reference number | WTM/AS/MIRSD/MIRSD-SEC-4/32234/2025-26 |
| Status | closed (order) |
| Year | 2026 |
| Closing date | — |
| Documents | 1 |