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2026
印度证券交易委员会因投资顾问违规对Alliance Research负责人处以60万卢比罚款
罚款或处罚
印度证券交易委员会（SEBI）对Alliance Research负责人Mudassir Hasan处以60万卢比罚款，因其违反多项投资顾问法规。据报道，违规行为包括提供未注册投资建议、KYC和风险画像不当、推荐不适合的产品以及向客户收取不公平费用。
来源摘录
Market regulator Securities and Exchange Board of India (SEBI) has imposed a penalty of ₹6 lakh on Mudassir Hasan, proprietor of Alliance Research, for multiple violations of investment adviser (IA) regulations, including providing unregistered investment advice, improper know-your-customer (KYC) and risk profiling, unsuitable product recommendations and charging unfair fees from clients.
SEBI had inspected Alliance Research where Mr Hasan was registered as an IA from 16 April 2015.
The order also flagged the fees charged by Alliance Research. For 19 of the 32 clients for whom records were available, the fees received were higher than the client’s annual income, while for 17 clients the fees exceeded the proposed investment amount disclosed in their risk-profiling forms.