Rulings
SEBI: Directs entities to refund investors’ money collected by providing unregistered Investment Advisory services
SAT: Upholds SEBI-order barring Co., Director for misutilization of client securities, non-settlement of accounts
SEBI: Penalises Research Analyst for making unrealistic, misleading representations about returns to investors
SEBI: Cancels IA’s registration for seeking payments without necessary KYC, suitability assessment
SEBI: Suspends commodities derivatives broker’s registration for involvement in impermissible trading
SEBI: Investment in MFs not covered under permissible investments by category III AIFs
HC: Rejects Co.’s minority shareholders’ plea for restoring disposed petition, absent 'cause of action'
SEBI: Clarifies on applicability of contra trade provision in trades done by promoters
SAT: Reduces SEBI penalty for IPO funds’ diversion in Birla Pacific Medspa case
SAT: Quashes SEBI order barring Future Corporate Resources, Kishore Biyani in insider trading matter
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