Centre appoints Madhabi Puri Buch, Former Whole Time Member of SEBI as Chairman of SEBI
Central Government appoints Smt. Madhabi Puri Buch, Former Whole Time Member, Securities and Exchange Board of India as Chairman of the Securities
SEBI
Fraudulent Trading| SEBI must disclose all relevant material, including Investigation Report, to noticee except certain sensitive information: SC
Supreme Court: In a case where the Court was dealing with the violation of the provisions of the SEBI (Prohibition of Fraudulent
SEBI to generate registration number instead of NSDL: SEBI (Foreign Portfolio Investors) (Amendment) Regulations, 2022 notified
On January 14, 2022, the Securities and Exchange Board of India notifies Securities and Exchange Board of India (Foreign Portfolio Investors) (Amendment)
SEBI | Twitter, Telegram and the tattered chances-Illicit act of swindlers recommending stock tips on social media; Tribunal acts immediately
Securities Exchange Board of India (SEBI): SK Mohanty, Whole Time Member, while acting immediately on the matter, was of the opinion that
Tribunals/Regulatory Bodies/Commissions Monthly Roundup | November 2021
Here’s a run-through of all the significant decisions covered in the month of November 2021 under the Section of Tribunals/Commissions/Regulatory Bodies.
Does the doctrine of Double Jeopardy apply to defaults under SEBI (LODR) Regulations?
By Abhishek Kale* and Darshan Furia**
Recent Key Reforms Proposed by India’s Capital Markets Regulator
by Rohan Kumar*and Shinjni Kharbanda**
SEBI | Calibrated efforts cancelling out the chance of coincidence of matching trades in illiquid scrip does not go scot free-Restricted from the market for manipulation
Securities and Exchange Board of India (SEBI)-Madhabi Puri Buch, Whole Time Member, while exercising powers under Section 19 read with Sections 11(1),
SEBI | GDR| Catches the principal architect in activation & orchestration of the fraudulent scheme –Leaves one being ‘under liquidation’, rest restrained from accessing the market
Securities and Exchange Board of India (SEBI)-G Mahalingam, Whole Time Member, restricted the entities from the securities market, involved in the fraudulent
SEBI issues circular on discontinuation of usage of pool accounts for transactions in Mutual Fund unit
The Securities and Exchange Board of India has banned the usage of pool accounts for mutual fund transactions on October 6, 2021.
SEBI issues circular on Disclosure of Complaints against Stock Exchange and Clearing Corporation
The Securities and Exchange Board of India has issued circular on Disclosure of Complaints against Stock Exchange and Clearing Corporation on October
SEBI| Monotonous modus operandi, modulated endgame |Issue of GDR, artificial arrangement, supported by the subscribing Company itself-Restrained and to disgorge
Securities and Exchange Board of India (SEBI)-G Mahalingam, Whole Time Member, in a detailed 95 paged order, while disposing off the proceedings
SEBI issues circular for extension of timeline for Investment Advisors to obtain annual certificate from auditor
SEBI vide circular dated September, 2020 issued “ Guidelines for Investment Advisers” which prescribed timeline of six months from the end of
SEBI issues Circular on Swing pricing framework for mutual fund schemes
On September 29, 2021, SEBI has issued a circular Swing pricing framework for mutual fund schemes. The Swing pricing framework was introduced
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 | 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