Rulings
SEBI: Imposes Rs. 7 lakh penalty on Research Analyst for making stock recommendations without research
SEBI: Penalises Co., promoters for non-compliance with mandatorily prescribed Accounting Standards
SEBI: Disposes of SCN against Director for preferential-allotment, absent clarity on his appointment
SEBI: Disposes proceedings against Profit Guruji for illegal-advisory, observes ‘no consideration in lieu of tips’
SAT: Stays SEBI order in Vedanta late dividend payout case
SEBI: Penalises Merchant Banker for not disclosing late utilization of funds to monitor IPO-performance
SEBI: Imposes Rs. 15 lakh penalty on Family Care Hospitals for LODR non-compliance
SEBI: Penalises Radico Khaitan’s former VP for violating insider trading norms
SAT: Stays SEBI restrictions on Catalyst Trusteeship citing irreparable harm to business, reputation
SEBI: Slaps Rs. 20 lakh penalty on broker for non-settlement of inactive clients’ funds
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