Rulings
SEBI: Penalises Research Analyst for acting with “blatant disregard” for clients’ interest
SAT: Adjudicating Officer, being subordinate, cannot disagree with WTM’s express findings
SEBI: Bars Subhash Chandra, Punit Goenka from holding key positions in Zee-Sony merged entity
SAT: Directs SEBI to pass fresh-orders on Co.’s promoter’s grievance over share dematerialization
SAT: Restraining RTA basis few instances of delay in resolving investor complaints, “unjustified”
SAT: Quashes NSE Committee’s interim order disabling TMs trading terminals citing ‘serious consequences’
SAT: Quashes SEBI’s disgorgement-order against NSE, ex-officials in “dark fibre” case, absent “fraud”
SAT: Cannot continue proceedings against deceased person or legal heirs; Quashes SEBI-order
SEBI: Cancels Investment Adviser’s license for concealing advisory services provided prior to registration
SEBI: Penalises 15 individuals for carrying out circular trades without changing beneficial ownership
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