Rulings
SAT: Directs BSE to decide delisting application, subject to deposit of fees by Company
SEBI: Clarifies on applicability of limitation on trading stipulated under Research Analyst Regulations
SEBI: LODR-amendment w.r.t. shareholders’ prior-approval for material RPT to apply prospectively; Ceases proceedings against Co.
SEBI: HDFC Securities not barred from acting as broker, offering advice to distribution clients
SEBI: Directs MD of company under liquidation, to refund money collected by contravening public-issue norms
SEBI: Penalizes Company under CIRP for failing to make disclosures regarding NCDs issuance
SEBI: Issues Informal Guidance regarding compliances for rendering investment advice
SEBI: Company’s Directors cannot be held responsible for fund-mobilisation, given appointment done without consent
SEBI: Bans NSE’s ex-MD from market for divulging confidential information to ‘spiritual guru’
SEBI: Bars Reliance Home Finance, Anil Ambani from market for allegedly siphoning-off funds
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