Rulings
SEBI: "Director's position comes with responsibility"; Debars Co., Directors for non-compliance with public-issue norms
SEBI: Slaps Rs. 7.75 cr. penalty on Co., Directors for accounting manipulation, fund diversion, fraudulent trade practices
SEBI: Slaps Rs. 20 lakh penalty on broker, its Directors for jeopardising investors' interest
HC: Saves century-old Calcutta Stock Exchange from derecognition; Directs it to establish clearing-corporation
HC: Dismisses petitions in Minimum Public Shareholding norms violation case citing lack of territorial-jurisdiction
SAT: Quashes penalty on co. for appointing 75-year old individual as Director, given board’s prior-approval
SEBI: SEBI-order catches TV ‘guest experts’ pocketing profits from manipulative trades; Cautions investors acting on free-advice
SEBI: Directs Co.’s Director to disgorge over Rs. 1 cr. earned from contra trade
SEBI: “Not a body corporate” no excuse for providing unregistered Portfolio-Management services; Debars proprietor
SEBI: Suspends IA’s registration due to “casual approach” towards regulatory enforcement proceedings
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