Rulings
SEBI: Penalizes Directors for falsification, non-compliance w.r.t. Code of Conduct under PIT Regulations
SEBI: Mandates continuous compliance of ‘fit and proper persons’ criteria by Investment Advisor
SEBI: Holds Promoters / Directors liable for financial misrepresentations; Directs forensic audit
SEBI: Delineates 'associate' w.r.t. state owned enterprise, for merchant banking purpose
SEBI: Self-trading in shares not objectionable as long as unintentional and insignificant
SAT: Quashes NSE order treating review proceedings as an 'empty formality'
SEBI: Dismisses ‘mere coincidence’ excuse for matching of trades, penalizes sub-broker
SC: Absolves Ramalinga Raju's close relatives of insider trading charges, overturns SAT verdict
SEBI: Bars Noticee from diverting funds raised in violation of public issue norms
SEBI: Penalises Noticee for entering into spot transactions without consideration
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