Rulings
SAT: Admonishes SEBI’s ‘disgraceful’ conduct in blindly defending officers’ conflicting orders
SEBI: Penalizes NBFC for delayed disclosures under Insider Trading Reg. & Takeover Code in disposing-off collateral security
SEBI: Suspends broker’s registration for issuing fake contract notes, facilitating profit entries in accounts
SAT: Upholds SEBI’s penalty for Takeover Code non-compliance in acquiring shares beyond prescribed threshold
SEBI: Penalizes promoter for Insider Trading Regulations’ non-compliance for belated disclosures of ‘bulk deals’
SEBI: Penalizes individual investors for executing self-trades & manipulating share-price, rejects ‘small investors’ contention
SEBI: Directs refund of money collected through NCD issue without complying with public issue norms
SEBI: Penalises broker/sub-broker for ‘foul play’ in executing F&O trades without obtaining NSE’s certifications
SEBI: Debars Edserv & senior management for IPO fund-siphoning & ‘deliberate’ grave lapses in prospectus
HC: Upholds SEBI’s de-recognition of Calcutta Stock Exchange for non-compliance of turnover criteria
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