Rulings
SEBI: Penalizes Promoter for failure to disclose pledge creation, invocation under Takeover Regulations
SEBI: Contra trade restrictions apply to trades by individual promoter and not entire group
SAT: Company’s request to sell shares at negotiated price for meeting MPS requirements, ‘eye-wash’
SAT: Rejects application seeking extension in compliance, considering operational stock markets during pandemic
SEBI: Imposes Rs. 2 Cr. penalty on 4 entities for front-running HDFC AMC’s trade
SEBI: Bars 11 entities from securities market for manipulating GDR issue, misleading Indian investors
SAT: Liberates NHAI from SEBI penalty, albeit with ‘warning’; Considers mitigating factors delaying compliance
SEBI: Imposes Rs. 12 lakh penalty on Stock Broker for misutilizing client funds
SEBI: Penalizes research associate for communicating HDFC Bank’s quarterly results via WhatsApp before announcement
SEBI: Penalizes Promoters for failure to disclose shareholding changes resulting from merger
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