SEBI Archives

Case Briefs Tribunals/Commissions/Regulatory Bodies

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

Case Briefs Tribunals/Commissions/Regulatory Bodies

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

Case Briefs Tribunals/Commissions/Regulatory Bodies

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

Legislation Updates Notifications

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

Case Briefs Tribunals/Commissions/Regulatory Bodies

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

Case Briefs Tribunals/Commissions/Regulatory Bodies

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),

Case Briefs Tribunals/Commissions/Regulatory Bodies

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

Legislation Updates Notifications

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

Case Briefs Tribunals/Commissions/Regulatory Bodies

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

Legislation Updates Notifications

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

Case Briefs Tribunals/Commissions/Regulatory Bodies

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

Case Briefs Tribunals/Commissions/Regulatory Bodies

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

Legislation Updates Notifications

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

Case Briefs Tribunals/Commissions/Regulatory Bodies

SEBI | Failure to furnish the mandate results in restriction from the market which became a mandate thereafter

Securities and Exchange Board of India (SEBI): Ananta Barua, Whole Time Member while exercising the powers conferred under Sections 11(1), 11(4), 11(4A),

Case Briefs Tribunals/Commissions/Regulatory Bodies

SEBI | To insulate the interest of the investors from impostures — Issues order for debarment

Securities and Exchange Board of India (SEBI): Madahabi Puri Bach, Whole Time Member while keeping in view the violation of MPS requirement,

Case Briefs Tribunals/Commissions/Regulatory Bodies

SEBI | To bring the proceedings initiated to a logical conclusion-Certificate of registration fails to survive

Securities Exchange Board of India (SEBI): G Mahalingam, Whole Time Member while exercising the powers conferred under Section 19 of the Securities

Cyril Amarchand Mangaldas Experts Corner

Ponzi Schemes in India –The Legal and Regulatory Landscape

by Ankoosh Mehta† and Janvi Manek††
Cite as: 2021 SCC OnLine Blog Exp 64

Legislation Updates Rules & Regulations

Board may grant reward in case of total reward payable is less than or equal to Rs. one crore upon the issuance of the final order

On August 05, 2021, the Securities Exchange Board of India makes Securities and Exchange Board of India (Prohibition of Insider Trading) (Second

Case Briefs Tribunals/Commissions/Regulatory Bodies

SEBI | Jammu & Kashmir government exempted from Takeover regulations for the proposed acquisition of equity shares of Jammu and Kashmir Bank

Securities and Exchange Board of India (SEBI): S.K. Mohanty, Whole Time Member, exempted the Government of Jammu and Kashmir, from complying with

Case Briefs Tribunals/Commissions/Regulatory Bodies

SEBI | Specious Portfolio, Spurious Manager -Deceptive Portfolio Manager with a real-looking-fake website caught and handled suitably

Securities and Exchange Board of India (SEBI): S.K. Mohanty, Whole Time Member while exercising the powers under Sections 11, 11(4),11B (1) and