SEBI issues Risk Management Framework for Mutual Funds
The Securities & Exchange Board of India has revised the Risk Management Framework (RMF) for Mutual Funds vide circular dated September 27,
SEBI
SEBI | Stock brokers restricted from accepting new clients for making third party transfers-Usual practice for Fraudulent Trade Practices
Securities and Exchange Board of India- Ananta Barua, Whole Time Member, while agreeing with the Enquiry Report, restrained SIC Stocks and Services
SEBI | Abnormalities, established relations and phone calls forms basis of strong preponderance of probabilities-Insider trading out of doors
Securities and Exchange Board of India (SEBI): S.K. Mohanty, Whole Time Member, in a detailed order held that the Managing Director, Abhay
Remuneration to non-executive directors: Analysis of provisions under Companies Act and SEBI Listing Regulations
Gaurav N Pingle†
Cite as: (2021) PL (CSP) June 75
SEBI issues rules for corporate governance on debt listed entities vide SEBI (Listing Obligations and Disclosure Requirements) (Fifth Amendment) Regulations, 2021
On September 08, 2021, the Securities and Exchange Board of India (SEBI) has issued the SEBI (Listing Obligations and Disclosure Requirements) (Fifth
SEBI | Off the hook from ‘SEBI’S SCORES’-Prosecution already initiated before Court of Special Economic Offences-No further directions necessitated
Securities and Exchange Board of India (SEBI): G. Mahalingam, Whole Time Member, did not find it suitable to pass any further directions
Certification requirements of associated persons functioning as Principal officer of a Portfolio Manager, notified
The Securities & Exchange Board of India (SEBI) has notified certification requirements of an associated person functioning as principal officer of a
SEBI | Manipulative Pricing | Connected entities aiding other connected entities gets disconnected from the securities market
Securities and Exchange Board of India (SEBI): G. Mahalingam, Whole Time Member, while exercising the powers under Sections 11(1), 11(4) and Section
SEBI | A ‘no go show’–Ex-CNBC anchor, family in quagmire for fraudulent trading-Affirms interim order
Securities and Exchange Board of India (SEBI): Madhabi Puri Buch, Whole Time Member, while affirming the interim order, rejected all the submission
SEBI | Duping investment advisory, non-co-operation in inspection, blaming undocumented employees, request to de-freeze account with Rs 1,298 | Convoluted statements and demands- Affirms Interim Order
Securities Exchange Board of India (SEBI): Madhabi Puri Bach, Whole Time Member, while affirming ex-parte ad Interim Order on not finding any
SEBI | Revised guidelines for Liquidity Enhancement Scheme in the Equity Cash and Equity Derivatives Segments
The Securities and Exchange Board of India has notified revised guidelines for Liquidity Enhancement Scheme in the Equity Cash and Equity Derivatives
SEBI | Abysmal standards of service to investors, violation of maturity dates of FMP: Kotak Mahindra mulcted and trammelled from launching FMP
Securities Exchange Board of India (SEBI): S.K. Mohanty, Whole Time Member while imposing penalty under Section 11B(2) read with Section 15D(b) and
SEBI | Unambiguous Supreme Court, Univocal SEBI | Believes and balked, mens rea to shudder provisions of Chapter VI A- If imputes would impede
Securities and Exchange Board of India (SEBI): Prasanta Mahapatra, Adjudicating Officer, while imposing a penalty of ₹6,00,000/- on Capital First Ltd. (Noticee),
SEBI | Titan on Insider Trading-Violations by 6 employees of TCL attracts Penalty | Holds-contravention disregards both honest and dishonest ignorance
Securities and Exchange Board of India (SEBI): Soma Majumdar, Adjudicating Officer, in six separate Adjudication Orders, while holding the Noticees liable for
SEBI issues circular on Modalities for implementation of the framework for Accredited Investors
SEBI has issued a circular on Modalities for implementation of the framework for Accredited Investors in exercise of powers conferred under Section
SEBI | On not finding any justifiable reason to revoke interim ex-parte order, continues to stand–Protects the interests of investors
Securities and Exchange Board of India (Sebi): Madhabi Puri Bach, Whole Time Member, on not finding any justifiable reason to revoke or
SEBI issues new guidelines for tendering and settlement of shares through stock exchange
The Securities and Exchange Board of India has issued a circular dated August 13, 2021 stating that a lien shall be marked
SEBI | Carrying out mutual funds with DGP scheme and an Investment Adviser but with no registration | Orders to pay the amount along with several other restrictions
Securities Exchange Board of India (SEBI): G Mahalingam, Whole Time Member, considering the factual chain and evidences directed the Noticees to cease
SEBI | ZEE insider trading: Interim ex-parte order bars 15 entities
Securities and Exchange Board of India (SEBI): Madhabi Puri Bach, (Whole Time Member) considering the impending danger to the interests of the
SEBI issues guidelines on issuance of non-convertible debentures with warrants through Qualified Institutional Placement
The Securities and Exchange Board of India has issued circular dated 13th August 2021 providing the guidelines on issuance of non-convertible debt