Rulings
SEBI: Restrains HBJ Capital from acting as Investment Advisor, as unregistered under SEBI Regulations
SEBI: SEBI observes unfair-trade practices by sub-broker, acting in collusion with other intermediaries
SC: Directs Subrata Roy to furnish Rs.10,000 cr for release; Cites Ronald Dworkin’s jurisprudence-theory
SEBI: Directs promoters to make public announcement for clandestine acquisitions & takeover regulations breach
SEBI: Penalises co. for disclosures delay under Takeover-Regulations; Rejects ‘previous management’s responsibility’ defence
SEBI: Accepts Uttar Pradesh Stock Exchange’s voluntary-exit application; Orders post exit obligations compliance
SEBI: Allows Madhya Pradesh Stock Exchange exit, orders name change & tax compliance
SEBI: Bans Karvy arm for IPO fraud collusion; Rejects “unaware of manipulations” defence
SAT: Upholds SEBI order penalising appellant for SCORES non-registration
SAT: Rs 2 lakhs penalty ‘not excessive’ for non-obtainment of SCORES login; Dismisses appeal
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