Rulings
SEBI: Penalizes, restrains IA’s Proprietor for running ‘pre-meditated device’ to hoodwink clients
SEBI: Rs. 70 lakh penalty on Co.’s top brass, for ‘subterfuge’, misrepresenting financials
SEBI: Issues interim order against Brightcom Group, top executives for major accounting fraud
SEBI: Issues Informal Guidance for computing ‘net worth’ after transitioning to IndAS, for issuing debt securities
SEBI: Penalizes 4 entities for insider-trading basis UPSI on revision of Co.’s credit rating
SAT: Quashes SEBI-order against certain entities in NDTV insider trading case, absent PSI-based trading
SEBI: Portfolio Manager can issue ‘research report’ to ‘public’ without registration as Research Analyst
SEBI: LODR compliance required when appointing Directors to Bank’s Board
SEBI: Bans for 2-years, penalizes 3 entities in Zee Entertainment insider trading case
SEBI: Diverting IPO proceeds a “heinous act”; Slaps Rs. 26 lakh penalty on 7 entities
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