Just a moment...

⚠✕
❮ Top
☎ Help
☰
×

By creating an account you can:

Logo TaxTMI
>
Keyword Search :
AI Tools : New
Ask tax questions in natural language. Powered by AI trained on the TaxTMI legal database. Use AI Tools ➞
Call Us / Help / Feedback✕

Contact Us At :

✉ E-mail: [email protected]

✆ Call / WhatsApp at: +91 99117 96707

For more information, Check Contact Us

FAQs :

To know Frequently Asked Questions, Check FAQs

Most Asked Video Tutorials :

For more tutorials, Check Video Tutorials

Submit Feedback/Suggestion :

Email :
Please provide your email address so we can follow up on your feedback.
Category :
Description :
Min 15 characters0/2000
╳
Add to...
You have not created any category. Kindly create one to bookmark this item!
✕
Create New Category
Hide
Title :
Description :
❮❮ Hide
❮ Default View
Expand ❯❯
Close ✕
🔎 Highlights - Adv. Search ❯
TEXT SEARCH:

Press 'Enter' to add multiple search terms. Rules for Better Search

Search In:
Main Text + AI Text ❯
  • Main Text
  • Main Text + AI Text
  • AI Text
Law:
---- All Laws----❯
  • ---- All Laws----
  • Income Tax
  • Direct Taxes
  • Benami Property
  • Central GST Laws
  • SGST - State GST Laws
  • Customs
  • FTP - Foreign Trade Policy
  • SEZ - Special Economic Zone
  • FEMA - Foreign Exchange Management
  • Companies Law
  • SEBI - Securities & Exchange Board of India
  • IBC - Insolvency and Bankruptcy
  • Law of Competition
  • PMLA - Money-Laundering
  • Indian Laws
  • Bill / Finance Bills
  • Wealth Tax
  • Service Tax
  • Central Excise
  • VAT / Sales Tax
Month:
---- All Months ----❯
  • ---- All Months ----
  • January
  • February
  • March
  • April
  • May
  • June
  • July
  • August
  • September
  • October
  • November
  • December
Year:
---- All Years ----❯
  • ---- All Years ----
  • 2026
  • 2025
  • 2024
  • 2023
  • 2022
  • 2021
  • 2020
  • 2019
  • 2018
  • 2017
  • 2016
  • 2015
  • 2014
  • 2013
  • 2012
  • 2011
Sort By: ?
In Sort By 'Default', exact matches for text search are shown at the top, followed by the remaining results in their regular order.
RelevanceDefaultDate
    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.
❮
❯
❯❯
MaximizeMaximizeMaximize
0 / 200
Expand Note
Add to Folder

No Folders have been created

    +

    Are you sure you want to delete "My most important" ?

    NOTE:

    Open Link
    Highlights
    All› SEBI - Securities & Exchange Board of India › SEBI - Securities & Exchange Board of India - 2023
    Showing Results for :
    Reset Filters
    Results Found:
    Show All SummariesHide All Summaries
    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.

    Highlights

    All› SEBI - Securities & Exchange Board of India › SEBI - Securities & Exchange Board of India - 2023
    Back

    All Highlights

    Showing Results for :
    Reset Filters
      No Records Found

      Highlights

      Home› Highlights › SEBI › 2023 › September, 2023 › This
      Back

      All Highlights

      whatsappJoin Channel
      Showing Results for : Reset Filters
      SEBI

      Unregistered investment advisory activities - Investment...

      Unregistered Investment Advisory Services Result in Refund Order for Assured Returns Losses; Decision Upheld as Legally Sound.

      Contents
      Summary
      Note

      Note

      -

      Bookmark

      Print

      Print

      Print Options

      SEBISeptember 25, 2023Case LawsAT
      Unregistered investment advisory activities - Investment advisory services with guaranteed assured returns causing monetary loss to the complainants - since appellants were carrying out advisory services without registration the direction to refund the amount by the WTM does not suffer from any error of law. - AT
      View Source View

      Topics

      ActsIncome Tax
      Next ➔