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
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
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