Rulings
SEBI: Cancels Stock-Broker’s registration for not adhering to regulatory obligations, displaying “non-compliant attitude”
SEBI: Cancels CRA Brickwork Ratings’ registration, directs winding down of operations within 6 months
SAT: Modifies SEBI-order restraining Investment Advisors for violations committed prior to IA Regulations
SEBI: Order not in compliance with mandatory SEBI-Act provisions against ‘investor protection’ mandate
SEBI: Penalizes, bans Gautam Thapar, others for fund-diversion, misrepresentation in CG Power case
SEBI: Ceases proceedings against 2-individuals in “WhatsApp leaks” case concerning Infosys results
SC: Rejects appeal against SAT order quashing SEBI penalty-order in “WhatsApp leaks” case
SAT: Merely signing annual-report doesn’t mean approval of misstatements contained therein; Quashes SEBI-order
SAT: Directs transfer of unclaimed CIS money to IEPF, absent claim by investors
SEBI: Rs. 3-Cr. penalty on Birla Pacific Medspa, Yash Birla, others for misutilizing IPO proceeds
Pages
