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    December 9, 2023   Case LawsSEBI
    SEBI Limited in Action Against Auditors Lacking Evidence of Fraud or Collusion; No Authority Over ICAI, NFRA Investigations.
    December 8, 2023   Case LawsSEBI
    SEBI Can Charge CA Firms for Fraud in Statutory Audits; Disciplinary Action Possible for Non-compliance with ICAI Standards.
    December 7, 2023   Case LawsSEBI
    Managing Director cleared of penalties for fraudulent gains; SEBI Act's Section 27 deemed inapplicable to civil liability.
    December 6, 2023   Case LawsSEBI
    SEBI Fails to Provide Documents to Minority Shareholders, Citing Revoked Settlement Orders; Court Demands Compliance.
    December 1, 2023   CircularsSEBI
    SEBI Extends Timeline for Implementing Investor Grievance Redressal via SCORES and Online Dispute Resolution Platform.
    November 14, 2023   CircularsSEBI
    SEBI Issues Standardized Terms for Broker-Client Relationships to Ensure Clarity and Compliance in Financial Transactions.
    November 2, 2023   Case LawsSEBI
    Entities Conducted Front Running, Defrauding Investors and Violating PFUTP Regulations, Resulting in Unlawful Trading Gains.
    November 2, 2023   Case LawsSEBI
    Fraudulent GDR Scheme Misleads Investors with False Announcements, Inducing Securities Transactions.
    October 30, 2023   Case LawsSEBI
    Insider Trading Violation: Appellant Used Undisclosed Price-Sensitive Info, Breaching SEBI Act Section 12A and PIT Regulation 4(1.
    October 27, 2023   Case LawsSEBI
    Shareholders Must Disclose Settlement Information Under Regulation 29 to Ensure Transparency and Prevent Company Disharmony.
    October 17, 2023   Case LawsSEBI
    Allegations of Violating SEBI Buyback and PFUTP Regulations Unproven; Company Cleared of Fraudulent Conduct.
    October 10, 2023   Case LawsSEBI
    SEBI Imposes Penalty for Incorrect PAN Submission; Petitioner Did Not Contest Through Proper Channels as Required by Law.
    September 25, 2023   Case LawsSEBI
    Unregistered Investment Advisory Services Result in Refund Order for Assured Returns Losses; Decision Upheld as Legally Sound.
    September 14, 2023   Case LawsSEBI
    Appellants Violated SEBI 2015 Regulations on Related Party Transactions; Violations Not Severe for Major Penalties.
    September 14, 2023   Case LawsSEBI
    Fraudulent GDR Issuance Penalty Reduced for Ex-Employee; Fine Cut from Rs. 1 Crore to Rs. 10 Lakh.
    August 16, 2023   Case LawsSEBI
    SEBI Delists Company for Not Providing Shareholder Exit as Required by 2016 and 2017 Circulars.
    August 4, 2023   Case LawsSEBI
    Violation of Regulation 11(1) of SAST: Non-issuance of Open Offer on Warrant Conversion Not Applicable to Appellants.
    August 4, 2023   Case LawsSEBI
    SEBI Ordered to Appoint New Whole Time Member or Higher Officer for Dispute Settlement Resolution.
    August 4, 2023   Case LawsSEBI
    SEBI Criticized for Delayed Proceedings Despite No Limitation Period; Urged to Act Within Reasonable Timeframe. No Penalty Imposed.
    July 28, 2023   Case LawsSEBI
    SEBI Confirms Bank's Right to Auction Gurgaon Villa for Dues Recovery Under SARFAESI Act, 2002.
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    All› SEBI - Securities & Exchange Board of India › SEBI - Securities & Exchange Board of India - 2023
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    December 9, 2023   Case Laws SEBI
    SEBI Limited in Action Against Auditors Lacking Evidence of Fraud or Collusion; No Authority Over ICAI, NFRA Investigations.
    December 8, 2023   Case Laws SEBI
    SEBI Can Charge CA Firms for Fraud in Statutory Audits; Disciplinary Action Possible for Non-compliance with ICAI Standards.
    December 7, 2023   Case Laws SEBI
    Managing Director cleared of penalties for fraudulent gains; SEBI Act's Section 27 deemed inapplicable to civil liability.
    December 6, 2023   Case Laws SEBI
    SEBI Fails to Provide Documents to Minority Shareholders, Citing Revoked Settlement Orders; Court Demands Compliance.
    December 1, 2023   Circulars SEBI
    SEBI Extends Timeline for Implementing Investor Grievance Redressal via SCORES and Online Dispute Resolution Platform.
    November 14, 2023   Circulars SEBI
    SEBI Issues Standardized Terms for Broker-Client Relationships to Ensure Clarity and Compliance in Financial Transactions.
    November 2, 2023   Case Laws SEBI
    Entities Conducted Front Running, Defrauding Investors and Violating PFUTP Regulations, Resulting in Unlawful Trading Gains.
    November 2, 2023   Case Laws SEBI
    Fraudulent GDR Scheme Misleads Investors with False Announcements, Inducing Securities Transactions.
    October 30, 2023   Case Laws SEBI
    Insider Trading Violation: Appellant Used Undisclosed Price-Sensitive Info, Breaching SEBI Act Section 12A and PIT Regulation 4(1.
    October 27, 2023   Case Laws SEBI
    Shareholders Must Disclose Settlement Information Under Regulation 29 to Ensure Transparency and Prevent Company Disharmony.
    October 17, 2023   Case Laws SEBI
    Allegations of Violating SEBI Buyback and PFUTP Regulations Unproven; Company Cleared of Fraudulent Conduct.
    October 10, 2023   Case Laws SEBI
    SEBI Imposes Penalty for Incorrect PAN Submission; Petitioner Did Not Contest Through Proper Channels as Required by Law.
    September 25, 2023   Case Laws SEBI
    Unregistered Investment Advisory Services Result in Refund Order for Assured Returns Losses; Decision Upheld as Legally Sound.
    September 14, 2023   Case Laws SEBI
    Appellants Violated SEBI 2015 Regulations on Related Party Transactions; Violations Not Severe for Major Penalties.
    September 14, 2023   Case Laws SEBI
    Fraudulent GDR Issuance Penalty Reduced for Ex-Employee; Fine Cut from Rs. 1 Crore to Rs. 10 Lakh.
    August 16, 2023   Case Laws SEBI
    SEBI Delists Company for Not Providing Shareholder Exit as Required by 2016 and 2017 Circulars.
    August 4, 2023   Case Laws SEBI
    Violation of Regulation 11(1) of SAST: Non-issuance of Open Offer on Warrant Conversion Not Applicable to Appellants.
    August 4, 2023   Case Laws SEBI
    SEBI Ordered to Appoint New Whole Time Member or Higher Officer for Dispute Settlement Resolution.
    August 4, 2023   Case Laws SEBI
    SEBI Criticized for Delayed Proceedings Despite No Limitation Period; Urged to Act Within Reasonable Timeframe. No Penalty Imposed.
    July 28, 2023   Case Laws SEBI
    SEBI Confirms Bank's Right to Auction Gurgaon Villa for Dues Recovery Under SARFAESI Act, 2002.

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      SEBI

      Violation of the SEBI (Listing Obligations and Disclosure...

      Appellants Violated SEBI 2015 Regulations on Related Party Transactions; Violations Not Severe for Major Penalties.

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      SEBISeptember 14, 2023Case LawsAT
      Violation of the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 - Related party transactions - We find that the appellants had committed violations of various provisions of the LODR Regulations. The said violations are however not that serious warranting imposition of high penalties. - AT
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