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SEBI Case Commentaries

Establishment of Collective Investment Scheme: SEBI's Interim Order Against Shri Ram Real Estate and Business Solution Ltd.

Establishment of Collective Investment Scheme: SEBI's Interim Order Against Shri Ram Real Estate and Business Solution Ltd.

Date: Mar 18, 2015
Establishment of Collective Investment Scheme: SEBI's Interim Order Against Shri Ram Real Estate and Business Solution Ltd. Introduction The Securities and Exchange Board of India (SEBI) issued an...
Compulsory Listing and Regulatory Compliance: Insights from SEBI's Judgment in the MGPL Case

Compulsory Listing and Regulatory Compliance: Insights from SEBI's Judgment in the MGPL Case

Date: Mar 14, 2015
Compulsory Listing and Regulatory Compliance: Insights from SEBI's Judgment in the MGPL Case Introduction The Securities and Exchange Board of India (SEBI) issued a landmark judgment on March 13,...
SEBI Strengthens Oversight on Public Share Issuance: The Shah Group Builders Limited Case

SEBI Strengthens Oversight on Public Share Issuance: The Shah Group Builders Limited Case

Date: Feb 13, 2015
SEBI Strengthens Oversight on Public Share Issuance: The Shah Group Builders Limited Case Introduction The Securities and Exchange Board of India (SEBI) issued a significant order on February 12,...
Establishing the 'Fit and Proper Person' Standard under SECC Regulations: SEBI's Decision in the Financial Technologies (India) Ltd. Case

Establishing the 'Fit and Proper Person' Standard under SECC Regulations: SEBI's Decision in the Financial Technologies (India) Ltd. Case

Date: Mar 20, 2014
Establishing the 'Fit and Proper Person' Standard under SECC Regulations: SEBI's Decision in the Financial Technologies (India) Ltd. Case Introduction The case of Financial Technologies (India) Ltd....
SEBI's Upholding of Regulatory Compliance in the Issuance of Redeemable Preference Shares: The Prayag Infotech Hi-Rise Ltd Case

SEBI's Upholding of Regulatory Compliance in the Issuance of Redeemable Preference Shares: The Prayag Infotech Hi-Rise Ltd Case

Date: Feb 19, 2014
SEBI's Upholding of Regulatory Compliance in the Issuance of Redeemable Preference Shares: The Prayag Infotech Hi-Rise Ltd Case Introduction The Securities and Exchange Board of India (SEBI), as the...
SEBI Exempts Government of India from Regulation 3(2) in Vijaya Bank PNCPS Conversion

SEBI Exempts Government of India from Regulation 3(2) in Vijaya Bank PNCPS Conversion

Date: Feb 18, 2014
SEBI Exempts Government of India from Regulation 3(2) in Vijaya Bank PNCPS Conversion Introduction The Securities and Exchange Board of India (SEBI) rendered a pivotal decision on February 17, 2014,...
SEBI Interim Order: Joint Venture Participation Projects Classified as Collective Investment Schemes

SEBI Interim Order: Joint Venture Participation Projects Classified as Collective Investment Schemes

Date: Jan 24, 2014
SEBI Interim Order: Joint Venture Participation Projects Classified as Collective Investment Schemes Introduction On January 23, 2014, the Securities and Exchange Board of India (SEBI) issued an...
Clarifying Aiding and Abetting in Securities Fraud: Insights from SEBI's Verdict on Ms. Veena Kotecha

Clarifying Aiding and Abetting in Securities Fraud: Insights from SEBI's Verdict on Ms. Veena Kotecha

Date: Jan 4, 2014
Clarifying Aiding and Abetting in Securities Fraud: Insights from SEBI's Verdict on Ms. Veena Kotecha Introduction The Securities and Exchange Board of India (SEBI) plays a pivotal role in regulating...
SEBI Upholds Prohibition of Aiding and Abetting Fraudulent Trade Practices: The Teakwood Management Services Pvt. Ltd. Case

SEBI Upholds Prohibition of Aiding and Abetting Fraudulent Trade Practices: The Teakwood Management Services Pvt. Ltd. Case

Date: Jan 4, 2014
SEBI Upholds Prohibition of Aiding and Abetting Fraudulent Trade Practices: The Teakwood Management Services Pvt. Ltd. Case Introduction The Securities and Exchange Board of India (SEBI) in Appeal...
SEBI v. Prayag Infotech Hi-Rise Ltd: Landmark Judgment on Public Issue Compliance

SEBI v. Prayag Infotech Hi-Rise Ltd: Landmark Judgment on Public Issue Compliance

Date: Oct 1, 2013
SEBI v. Prayag Infotech Hi-Rise Ltd: Landmark Judgment on Public Issue Compliance Introduction The Securities and Exchange Board of India (SEBI) issued a significant judgment against Prayag Infotech...
SEBI Orders against MVL Ltd.: A Landmark Ruling on Collective Investment Schemes

SEBI Orders against MVL Ltd.: A Landmark Ruling on Collective Investment Schemes

Date: Sep 27, 2013
SEBI Orders against MVL Ltd.: A Landmark Ruling on Collective Investment Schemes Introduction On September 26, 2013, the Securities and Exchange Board of India (SEBI) issued a pivotal order in the...
SEBI Prohibits Unregistered Collective Investment Scheme Conducted by KBCL India Limited and Directors

SEBI Prohibits Unregistered Collective Investment Scheme Conducted by KBCL India Limited and Directors

Date: Sep 13, 2013
SEBI Prohibits Unregistered Collective Investment Scheme Conducted by KBCL India Limited and Directors Introduction On September 12, 2013, the Securities and Exchange Board of India (SEBI) issued an...
Empower Industries India Ltd: Establishing Precedent on Corporate Misconduct and Market Manipulation

Empower Industries India Ltd: Establishing Precedent on Corporate Misconduct and Market Manipulation

Date: Jan 7, 2012
Empower Industries India Ltd: Establishing Precedent on Corporate Misconduct and Market Manipulation Introduction The judgment rendered on January 6, 2012, by the Securities and Exchange Board of...
SEBI’s Authority in Pursuit of Investor Protection: Analysis of the Srinivas Talluri Judgment

SEBI’s Authority in Pursuit of Investor Protection: Analysis of the Srinivas Talluri Judgment

Date: Jan 19, 2011
SEBI’s Authority in Pursuit of Investor Protection: Analysis of the Srinivas Talluri Judgment Introduction The judgment in Srinivas Talluri, In Re (Abeyance Of The Proceeding) delivered by the...
Enhanced Reporting Obligations for FIIs: SEBI's Direction Against Barclays Bank Plc

Enhanced Reporting Obligations for FIIs: SEBI's Direction Against Barclays Bank Plc

Date: Aug 31, 2010
Enhanced Reporting Obligations for FIIs: SEBI's Direction Against Barclays Bank Plc Introduction The Securities and Exchange Board of India (SEBI) initiated regulatory proceedings against Barclays...
SEBI Judgment on Control Acquisition Without Public Announcement: A Comprehensive Analysis

SEBI Judgment on Control Acquisition Without Public Announcement: A Comprehensive Analysis

Date: Dec 11, 2009
SEBI Judgment on Control Acquisition Without Public Announcement: A Comprehensive Analysis Introduction The Securities and Exchange Board of India (SEBI), the regulatory authority for securities...
Suspension of Stock Broker Registration for Nonpayment of Fees under SEBI Act

Suspension of Stock Broker Registration for Nonpayment of Fees under SEBI Act

Date: Dec 8, 2009
Suspension of Stock Broker Registration for Nonpayment of Fees under SEBI Act Introduction The case of Triumph Retail Broking Services Ltd., In Re (Registration Fees) adjudicated by the Securities...
SEBI's Landmark Judgment on Misleading Advertisements by Vital Communications Ltd.

SEBI's Landmark Judgment on Misleading Advertisements by Vital Communications Ltd.

Date: Feb 21, 2008
SEBI's Landmark Judgment on Misleading Advertisements by Vital Communications Ltd. Introduction The Securities and Exchange Board of India (SEBI) issued a significant judgment on February 20, 2008,...
Strengthening Regulatory Oversight: SEBI's Directive to Madhya Pradesh Stock Exchange Ltd

Strengthening Regulatory Oversight: SEBI's Directive to Madhya Pradesh Stock Exchange Ltd

Date: Feb 19, 2008
Strengthening Regulatory Oversight: SEBI's Directive to Madhya Pradesh Stock Exchange Ltd Introduction The Securities and Exchange Board of India (SEBI), as the pivotal regulatory authority...
Responsibility of Sub-Brokers in Preventing Market Manipulation - Compuaction Securities v SEBI

Responsibility of Sub-Brokers in Preventing Market Manipulation - Compuaction Securities v SEBI

Date: Feb 8, 2008
Responsibility of Sub-Brokers in Preventing Market Manipulation - Compuaction Securities v SEBI Introduction The case of Compuaction Securities Private Ltd. versus the Securities and Exchange Board...
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