Rulings
SAT: Upholds SEBI-order barring Brightcom Group’s top executives from holding KMP positions
SEBI: 'Fit & proper person’ criteria not one-time condition; Suspends stock-broker's registration
SEBI: Mere application for intermediary registration does not ‘automatically’ grant right to get registered
SEBI: Slaps Rs. 93-lakh penalty on Co.’s MD, Compliance Officer for fraudulent shares allotment
SAT: Clarifies earlier order, directs Axis Bank to maintain status quo in Karvy Stockbroking matter
SEBI: Penalises Abhijit Pawar for insider trading in Magma Fincorp scrip, questions “buddy deals”
SEBI: Conversion of warrants into equity shares an ‘acquisition’, not ‘corporate action’
SAT: Quashes SEBI-order penalizing defaulter; Remits matter to Recovery Officer to pass speaking-order
SEBI: Penalises stock broker for failing to adhere to ‘high standards’ of service to clients
SEBI: Imposes Rs. 2-cr. penalty on Co.’s top brass for cooking books
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