Handbook of Statis.....Tags : Sebi, handbook, statistics, 2015
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SEBI Tightens IPF Norms for Depositories(08.06.2016)
SEBI has observed that depositories can use the money in their investor protection funds (IPF) only to promote investor education and awareness progra.....
Tags : SEBI, IPF, Depositories
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SEBI Issues Framework for Stock Exchanges & Clearing Corporations at IFSCs(29.11.2016)
Securities and Exchange Board of India (Sebi) has issued a new framework for functioning of Stock Exchanges and Clearing Corporations that are setting.....
Tags : SEBI, Stock Exchanges, Clearing Corporations, IFSCs
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SEBI Levies Rs 5.25 Crore Fine on Cairn India in Share Buyback Case(20.05.2021)
Securities and Exchange Board of India has imposed a penalty of Rs 5.25 crore on Cairn India for making a misleading announcement regarding the buybac.....
Tags : SEBI, Cairn India
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Review of Annual Custody / Issuer Charges(09.12.2015)
The Securities and Exchange Board of India has enhanced custody/issuer charged to be collected by depositories from issuers. Per folio charge has been.....
Tags : SEBI, Custody, issuer, charges, increase
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SEBI Levies Two-Year Ban on Individual for Fraudulent Trading(17.10.2019)
Securities and Exchange Board of India has barred an individual for two years from the capital markets for indulging in fraudulent trade practices, wh.....
Tags : SEBI, Fraudulent Trading
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SEBI Bans 4 Firms from Carrying Out Investment Advisory Services(27.11.2019)
Securities and Exchange Board of India has barred four entities i.e 3M Team Research, Samrat Trades, Core Investment and Core Grp from carrying out in.....
Tags : SEBI, Investment Advisory
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SEBI Appointment: Delhi HC asks Economic Affairs Secretary to Reply to Contempt Plea(07.06.2016)
Delhi High Court has directed the economic affairs secretary to reply to a contempt plea for not complying with a court order related to the re-appoin.....
Tags : Delhi High Court, economic affairs secretary, Securities and Exchange Board of India ( SEBI )
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SC Seeks Response on Impleadment of SEBI in Panama Papers Case(25.11.2016)
Supreme Court has sought response on plea of market regulator SEBI that it has been dragged as a party in a PIL seeking a court-monitored CBI probe ag.....
Tags : Supreme Court, SEBI, Panama papers
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Sebi Imposes Fine of Rs. 1,100 Crore on NSE(01.05.2019)
Securities and Exchange Board of India (SEBI) has asked NSE, the largest stock exchange in India, to pay about Rs. 1,100 crore for favouring a few bro.....
Tags : Sebi, NSE
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SEBI Exempts Analjit’s Trust from Making Open Offer Obligation(04.10.2016)
Securities & Exchange Board of India (SEBI) has exempted Neeman Family Foundation, a trust set up by Max Financial Services promoter Analjit Singh and.....
Tags : SEBI, Neeman Family Foundation, open offer
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Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) (Third Amendment) Regulations, 2015(14.08.2015)
SEBI made amendments to the SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011, inserting a proviso in Regulation 1(3).
Tags : sebi, amendment, acquisition of shares
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Securities and Exchange Board of India (SEBI) Issues New Listing Norms for Stock Exchanges(04.01.2016)
SEBI has announced detailed guidelines for stock exchange compliance to disclosure and listing regulations including for ensuring 'fit and proper' sta.....
Tags : SEBI, stock exchange
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SEBI Eases Penal Provision for Deemed Public Offers(01.12.2015)
Securities and Exchange Board of India (SEBI) has said that unlisted companies raising funds through securities without having a public offer document.....
Tags : SEBI, unlisted companies
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SEBI Puts Rules for Mutual Funds to Restrict Redemptions(01.06.2016)
To curtail mutual fund houses' powers to suddenly restrict redemptions from a scheme, markets regulator SEBI has put in place a set of rules and also .....
Tags : SEBI, Mutual funds, Redemption
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Sebi Fines Equitypandit Financial Rs 40 lakh for Unauthorised Investment Acts(03.04.2018)
SEBI has imposed a fine of Rs 40 lakh on Equitypandit Financial Services for carrying out unauthorised investment advisory services.
Tags : SEBI, Equitypandit Financial
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SC: Fees to Director Not Exempted Under Clause 4 Schedule III of SEBI Stock Broker Regulations(22.03.2023)
Supreme Court while upholding SEBI’s decision to not to grant exemption to corporate entity from payment of fees to director under Clause 4 of Schedul.....
Tags : Supreme Court, SEBI, SEBI Stock Broker Regulations, Director
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SC Expert Committee in Adani-Hindenburg Report Probe: Prima Facie ‘No Regulatory Failure’(22.05.2023)
Supreme Court Expert Committee has stated that prima facie SEBI has not been able to make out a case of any regulatory failure on part of Adani group,.....
Tags : Supreme Court, Expert Committee, SEBI, Adani-Hindenburg Report
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Insider Trading: SEBI Issues New Norms for Reporting Violations of Code(22.07.2019)
SEBI has come out with standardized format for reporting violations of code of conduct, formulated under Prohibition of Insider Trading norms.
Tags : SEBI, Insider Trading
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SEBI Notifies New Norms for Issue of REITs(20.12.2016)
SEBI has notified detailed guidelines for public issuance of Real Estate Investment Trusts (REITs) including allocation of units to institutional inve.....
Tags : SEBI, Real Estate Investment Trusts
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SEBI Bans Investment Advisors from Providing Free Trials(28.12.2019)
Securities and Exchange Board of India has announced measures to strengthen the conduct of investment advisors. SEBI restricts financial advisers to p.....
Tags : SEBI, Investment
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SEBI Directs Hotel Leela to Share Details of Transactions Between Firm, Brookfield and Promoters(24.07.2019)
Securities and Exchange Board of India (SEBI) has directed Hotel Leelaventure to provide additional disclosures in postal ballot notice for asset sale.....
Tags : SEBI, Hotel Leela
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ITAT: Pledging of Shares With Banks for Obtaining Bank Finance Not Violative of SEBI Regulations(18.07.2022)
Income Tax Appellate Tribunal (ITAT), New Delhi while deleting addition against share broker, has held that pledging of shares of clients with banks f.....
Tags : ITAT, SEBI Regulations, Pledging of Shares
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Delhi High Court Slams Petitioner Who Alleged SEBI Irregularities in IPO Approvals(29.11.2021)
Delhi High Court has slammed a petitioner for alleging that the Securities and Exchange Board of India (SEBI) is approving IPOs (initial public offeri.....
Tags : Delhi High Court, SEBI Irregularities in IPO Approvals
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SEBI Fines Three Firms for Failing to Get SCORES Registration(27.01.2016)
SEBI has slapped a fine of Rs 1.5 lakh each on Champion Commercial, Classic Leasing & Finance and Camellia Trading & Investment for failing to registe.....
Tags : SEBI
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Revision in Position Limits for Agricultural Commodities(29.01.2016)
The Securities and Exchange Board of India has issued directions regar.....
Tags : Sebi, position limits, agriculture, commodity
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SC in Adani-Hindenburg Probe Case: SEBI can’t Take Indefinitely Long Period(15.05.2023)
Supreme Court while hearing SEBI’s application seeking extension of 6 more months to complete probe in Adani-Hindenburg probe case, has directed SEBI .....
Tags : Supreme Court, Adani-Hindenburg Probe, SEBI
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SEBI Directs Brokers, Depository Participants to Submit Reports on Cyber-Attacks(16.10.2019)
Securities and Exchange Board of India has directed the stock brokers and depository participants to submit quarterly reports, containing information .....
Tags : SEBI, Cyber Attacks
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Satyam Scam: SEBI Bars Price Waterhouse From Auditing Any Listed Company(12.01.2018)
Securities and Exchange Board of India (SEBI) has barred Price Waterhouse (PW) from auditing any listed company in India for a period of two years for.....
Tags : SEBI, Satyam
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SEBI Lays Down Mechanism to Map UCC with Demat Account(18.11.2019)
Securities and Exchange Board of India has put in place a mechanism for stock exchanges and depositories to map the unique client code (UCC) with the .....
Tags : SEBI, Demat
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SEBI Tightens Norms for Credit Rating Agencies(02.11.2016)
Securities and Exchange Board of India (Sebi) has asked Credit Rating Agencies to frame detailed rules for rating criteria, processes and responsibili.....
Tags : SEBI, Credit Rating Agencies , Rating Analysts
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SEBI Issues Operational Guidelines for FPIs(06.11.2019)
Securities and Exchange Board of India has issued operational guidelines for Foreign Portfolio Investors (FPI) Regulations notified in September. The .....
Tags : SEBI, FPI
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New Sebi Rules for Commodities Trading(05.10.2015)
Securities and Exchange Board of India (Sebi) has tightened margin and collateral requirements for commodities trading, to align these with practices .....
Tags : Securities and Exchange Board of India , Sebi Rule,Commodities Trading
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SEBI Puts in Place Disclosure Norm for Green Bonds, Environmental Objectives Must in Offer Documents(01.06.2017)
SEBI has put in place disclosure norms for issuance and listing of green bonds which mandates its issuer to make disclosure about environmental object.....
Tags : SEBI, Green Bonds
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Sebi Penalises PACL with Rs 7,269 crore for Fraudulent Mobilisation of Public Funds(23.09.2015)
Sebi has imposed Rs 7,269 crore penalty on PACL and its four directors for fraudulent mobilisation of funds from the public, saying it deserves “maxi.....
Tags : Sebi, PACL
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Sebi Approves New Norms for Commodity Derivatives Market(25.08.2015)
Securities and Exchange Board of India (Sebi), has approved new norms for India’s commodity derivatives market and its brokers for regulating the comm.....
Tags : Securities and Exchange Board of India (Sebi),commodity derivatives market
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Sebi: Submit Corporate Governance Report in 15 days From Closure of Quarter(25.09.2015)
Sebi has directed listed companies to submit quarterly compliance report on corporate governance in a prescribed format within 15 days from close of e.....
Tags : Sebi,listed companies
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SEBI Imposes a Penalty of Rs. 25 lakh Each on ICRA, CARE for Lapses in IL & FS Ratings(27.12.2019)
Securities and Exchange Board of India has fined credit rating agencies, ICRA Ltd. and Cooperative for Assistance and Relief Everywhere, a penalty of .....
Tags : SEBI, ICRA
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Sebi Serves Notice on ICICI Bank CEO Chanda Kochhar in Videocon Loan Case(28.05.2018)
Reports have alleged that Videocon chairman Venugopal Dhoot invested Rs 64 crore in Nu Power Renewables, a firm owned by Deepak Kochha
Tags : SEBI
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SEBI Denies Clearing Choksi's Antigua Citizenship Request, Cong Claims Govt's Complicity Exposed(03.08.2018)
The market regulator's clarification came after the Antigua government claimed that Choksi was given citizenship after it found that SEBI had closed t.....
Tags : SEBI
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SAT Levies Rs 50,000 Penalty on SEBI for Lapses in Probe(01.07.2019)
Securities Appellate Tribunal (SAT) has levied a penalty on the Securities and Exchange Board of India (SEBI) in a rare instance of the capital market.....
Tags : SAT, SEBI, Penalty
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SEBI Permits Exchanges to Modify Commodity Derivatives Contracts(15.11.2019)
Securities and Exchange Board of India has decided to give more flexibility to exchanges regarding modifying contract specifications for all commodity.....
Tags : SEBI, Derivatives
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Merger of Forward Markets Commission with SEBI formalised(28.09.2015)
Union Finance Minister formalised the merger of the Forward Markets Commission (FMC) with the Securities and Exchange Board of India (SEBI). The merge.....
Tags : Fmc, sebi, merger,
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SEBI Board Strengthens Corporate Governance Norms(29.03.2018)
Securities and Exchanges Board of India (SEBI) has accepted 40 out of 80 recommendations that were suggested by the Uday Kotak committee on corporate .....
Tags : SEBI, Corporate Governance
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SEBI Issues Strict Warehousing Norms for Agri-Commodities(28.09.2016)
Securities and Exchange Board of India (SEBI) has issue fresh warehousing norms for agri-commodities with an effort to ensure that exchanges are able .....
Tags : SEBI, Warehousing Norms
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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Third Amendment) Regulations, 2015(11.08.2015)
The Securities and Exchange Board of India made amendments to the SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009.
Tags : sebi, capital issue, regulations, 2015
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SEBI Fines ICICI Bank, Compliance Officer Rs 12 lakh for Disclosure Lapses(13.09.2019)
SEBI has levied a total fine of Rs 12 lakh on ICICI Bank Ltd and its compliance officer for disclosure lapses, including delayed disclosure of binding.....
Tags : SEBI, ICICI Bank
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SEBI Eases Foreign Investors' Access to International Finance Hub(25.05.2018)
Securities and Exchange Board of India (SEBI) has eased rules for foreign investors to trade in securities at a new international finance centre.
Tags : Securities and Exchange Board of India, SEBI
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SEBI order in the matter of M/s Magnox Infraprojects Limited(17.08.2015)
The Securities and Exchange Board of India passed an order restraining M/s Magnox Infraprojects Limited and its directors from dealing in the securiti.....
Tags : Sebi, order, restraint, refund
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SEBI Comes Out with Liberalised Norms for Depository Receipts(11.10.2019)
Securities and Exchange Board of India has come out with a detailed framework for issuance of depository receipts (DRs), a move that will provide Indi.....
Tags : SEBI, Depository Receipts
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SEBI Tightens Disclosure Norms for Municipal Bonds(14.11.2019)
Securities and Exchange Board of India has prescribed wider disclosures and compliances norms by the issuers of listed municipal bonds. SEBI has said .....
Tags : SEBI, Municipal Bonds
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Non-compliance with certain provisions of SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018(23.11.2021)
1. SEBI issued a Circular bearing reference number SEBI/HO/CFD/DIL2/CIR/P/2019/94 dated August 19, 2019, specifying the fines to be imposed by the Sto.....
Tags : Non-compliance, Certain provisions, SEBI
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SC Reprimands SEBI for Pursuing Case Being Already Heard(28.01.2016)
Supreme Court has reprimanded Securities Exchange Board of India (SEBI) for pursuing a case already being heard by it.
Tags : Supreme Court, SEBI
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SEBI Reviews Mutual Fund Advertisement Norms(16.03.2017)
Securities and Exchange Board of India has directed mutual funds to disclose performance of their schemes since inception and during preceding one-yea.....
Tags : SEBI, Mutual Fund Advertisement
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Madras High Court Puts SEBI on Notice in Multicrore Stock Trading Scam(20.08.2018)
Madras High Court has ordered notice to Securities and Exchange Board of India (SEBI) in connection with a suspected multicrore fraud involving Nation.....
Tags : Madras High Court, SEBI
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SEBI Lays Down Stewardship Code for MFs and AIFs(26.12.2019)
Securities and Exchange Board of India has issued the stewardship code for mutual funds and alternative investment funds which they would be required.....
Tags : SEBI, Stewardship Code
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SEBI Permits Commodity Exchanges to Introduce Options(29.09.2016)
Securities and Exchange Board of India (SEBI) has permitted commodity exchanges to introduce trading in options.
Tags : SEBI, Commodity Exchanges
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Securities and Exchange Board of India (Alternative Investment Funds) (Amendment) Regulations, 2015.(14.08.2015)
SEBI made amendments to the Securities and Exchange Board of India (Alternative Investment Funds) Regulations, 2012. The amendment inserted Sub-regula.....
Tags : sebi, amendment, alternative investment, regulations
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Delhi HC: Proceedings under SARFAESI Act Remain Unaffected by Orders Passed Under SEBI Act 1992(25.07.2023)
Delhi HC has observed that the proceedings under SARFAESI Act, 2002 will remain unaffected by the orders passed under SEBI Act, 1992 as provisions of .....
Tags : Delhi HC, SARFAESI Act, 2002, SEBI Act, 1992
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SEBI cautions investors against investing in unlisted companies(16.03.2016)
The Securities and Exchange Board of India cautioned against unlisted companies luring retail investors by issuing securities without complying with c.....
Tags : Sebi, unlisted company, investment
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SC: NCLT Can’t Exercise Parallel Jurisdiction With SEBI for Addressing Violations of SEBI Regulation(05.01.2023)
Supreme Court has held that National Company Law Tribunal (NCLT) cannot exercise a parallel jurisdiction with Securities and Exchange Board of India (.....
Tags : Supreme Court, NCLT, Parallel Jurisdiction, SEBI
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SEBI Tightens Norms for Liquid Funds(23.09.2019)
Securities and Exchange Board of India (SEBI) as part of its attempts to strengthen the risk management framework for liquid funds has made it mandato.....
Tags : SEBI, Liquid Funds
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Securities and Exchange Board of India (Procedure for Search and Seizure) Repeal Regulations, 2015(17.09.2015)
The Securities Exchange Board of India notified new Regulations on the search and seizure of defaulters’ properties. Under the Regulations, 2015, perm.....
Tags : Sebi, search and seizure
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SC to SEBI: Sell Sahara Group’s Realty Assets(30.03.2016)
SC has asked Securities and Exchange Board of India (SEBI) to sell real estate assets belonging to Sahara Group, estimated at Rs 40,000 crore, to rais.....
Tags : SC , SEBI
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SEBI Permits Mutual Funds to Invest in Unlisted NCDs(03.10.2019)
Securities and Exchange Board of India has permitted mutual funds to invest in unlisted non-convertible debentures (NCDs) up to a maximum of 10 per ce.....
Tags : SEBI, Mutual Fund
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What degree of proof to find brokers liable for fraudulent practices(23.02.2016)
The Supreme Court disposed off several appeals against the creation of artificial volumes by two brokers who matched volumes for related clients. The .....
Tags : Sebi, matched trading, proof, circumstantial
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SEBI Court to Sahara Chief: Gastroentitis Not an Excuse for Missing Hearing, Issues Notice(19.05.2017)
A Special SEBI Court has rejected Sahara chief's medical certificate for an upset stomach, and issued notice to his doctor to be present in court.
Tags : SEBI Court, Sahara
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SEBI Puts in Place Operating Guidelines for Investment Advisers in IFSC(10.01.2020)
Securities and Exchange Board of India has come out with guidelines for entities for operating as investment advisers in International Financial Servi.....
Tags : SEBI, IFSC
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Bombay High Court Sseeks CBDT Reply to Brokers’ Petition Against NSE, SEBI(17.08.2018)
Bombay High Court has directed Central Board of Direct Taxes (CBDT) to file its reply by 23 August in a petition filed by Association of National Exch.....
Tags : Bombay High Court, NSE, SEBI
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SEBI Fines Piramals Enterprises for Violating Insider Trading Norms(04.10.2016)
Securities and Exchange Board of India (SEBI) has imposed fine on Piramal Enterprises Chairman Ajay Piramal, his wife and daughter, along with another.....
Tags : SEBI , Piramals Enterprises , Insider Trading Norms
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Securities and Exchange Board of India (Delisting of Equity Shares) (Second Amendment) Regulations, 2015(14.08.2015)
SEBI made amendments to the Securities and Exchange Board of India (Delisting of Equity Shares) Regulations, 2009. The amendment inserted a proviso to.....
Tags : sebi, amendment, delist, equity
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Bombay HC Grants Bail to Ketan Parekh in SEBI Case(09.03.2018)
Bombay High Court has suspended a three year sentence awarded by a special SEBI court to Ketan Parekh in a securities scam for violating the SEBI Act .....
Tags : Bombay High Court, SEBI
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SEBI Relaxes Rules for FPI Registration, Rating Default(31.03.2020)
Securities and Exchange Board of India has relaxed compliance provisions up to 3 months, allowing credit rating agencies to not qualify a COVID-19 rel.....
Tags : SEBI, FPI Registration
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SEBI Raises Foreign Portfolio Investors Investment Limit for Government Debt(04.10.2016)
Securities & Exchange Board of India (SEBI) has raised Foreign Portfolio Investors (FPIs) investment limit in Government Securities to Rs. 1.48 lakh c.....
Tags : SEBI, FPIs
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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Fourth Amendment) Regulations, 2015.(14.08.2015)
SEBI made regulations to amend the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2009. The amendm.....
Tags : sebi, amendment, issue of capital, disclosure
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SEBI Issues Guidelines for Alternative Investment Funds Benchmarking(07.02.2020)
Securities and Exchange Board of India has issued guidelines for benchmarking the performance of alternative investment funds with a view to streamli.....
Tags : SEBI, Alternative Investment Funds
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SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 Comes into Force(01.12.2015)
SEBI on 2 September 2015 notified SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, which has come into force from 1 December .....
Tags : SEBI, SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015
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SEBI Extends Deadline to Split Chairman and Managing Director/ Chief Executive Officer Post(14.01.2020)
Securities and Exchange Board of India has extended the deadline by two years to April 1, 2022 for the top 500 listed firms to separate the roles of C.....
Tags : SEBI, Deadline
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SEBI Tightens Delisting Norms(08.09.2016)
Securities and Exchange Board of India (SEBI) has marginally tightened delisting norms and said in case of compulsory delisting, if company’s fair val.....
Tags : SEBI , Delisting Norms
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SEBI: Companies to Get INC Rating for Not Cooperating with CRAs(06.01.2020)
Securities and Exchange Board of India has said that companies which do not cooperate with credit rating agencies on disclosure of loan defaults, will.....
Tags : SEBI, CRA
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