Rulings
SEBI: Holds Director responsible for Company’s failure to make refunds to subscribers of RPS
SEBI: SEBI imposes penalty for failure to disclose ‘trading window’ under PIT Regulations
SAT: CIS registration mandatory for every new undertaking under the SEBI Act
SEBI: Provides clarity on lock-in period for unlisted CCDs
SEBI: Penalizes for manipulating security’s price vide fraudulent off market transactions
SAT: Upholds SEBI’s order, limits period of restraint for admitting fresh clients
SEBI: Views non-disclosure under Regulation 13 (1) of PIT Regulations leniently
SC: US SC : SEC’s disgorgement order akin to ‘penalty’, hit by 5 years limitation period.
SEBI: Debars investor for cornering quota reserved for retail individual investors in IPO
SAT: Sec. 28A imposing interest prospective; Rejects appellant’s ‘double-jeopardy’ plea
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