Securities Appellate Tribunal

Periodic Compliance Calendar for Listed Companies

SEBI - Enclosed is the list of minimum periodic compliances to be done by a Listed Entity pursuant to the provisions of the Companies Act and SEBI Regulations....

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Comparative analysis of Listing Agreement between SEBI Listing Regulations, 2015

SEBI - Comparative analysis between listing agreement and Chapter IV of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015- Transfer or transmission of securities and issue certificates within 15 days from the date of such receipt of request for transfer....

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Quarterly Compliances for listed Companies for Quarter Ended Q4- Jan‘15 to Mar’15

SEBI - ​CS ​ Amey A Patwardhan Quarterly Compliances for listed Companies for the Quarter Ended Q4- Jan‘15 to Mar’15 Sl. No. Compliances / Filings Last Date 1 Shareholding Pattern- to be submitted to BSE / NSE- both physically & electronically – through NEAPS within 21 days of end of quarter. (Clause 35 of Listing Agreement) 21-Apr...

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Investment by Financial Investor with protective rights for investments should not result in vesting of ‘Control’ of the Target Company with financial investor

SEBI - MSK Projects India Limited (‘MSK’ or ‘the Target Company’), issued and allotted fully paid-up equity shares to Subhkam Ventures (I) Private Limited (‘Subhkam’), erstwhile Subhkam Holding Private Limited, on preferential basis representing 17.90 percent of the post preferential issued share capital of MSK (out of total issue of...

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Putting you out of business is not a penalty, says Supreme Court

SEBI - The Securities and Exchange Board of India (SEBI) has never been armed with stronger draconian powers over the fate of Indian citizens. A recent opinion of the Supreme Court has held SEBI to be a social welfare organisation, and its powers under Sections 11(4) and 11B of the SEBI Act, 1992 (the Act) as not being “penal” in nature. Con...

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SC directs Sahara to approach SAT against SEBI order directing to return the money collected from investors for an OFCD scheme

SEBI - NEW DELHI: The Supreme Court today directed Sahara Group firm Sahara India Real Estate Corp to approach the Securities Appellate Tribunal against market regulator SEBI's order directing the return of money collected from investors for an OFCD scheme within a period of three weeks.A three-member bench headed by Chief Justice S H Kapadia al...

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TDSAT asks Videocon to pay 60 percent penalty; admits case

SEBI - Telecom tribunal TDSAT today asked another new operator Videocon Telecom to pay 60 per cent of Rs 12.45 crore penalty slapped on it by the Department of Telecom for missing roll-out obligations, while admitting its appeal against DoT. ...

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Union Cabinet approves amendment to the Forward Contracts (Regulation) Act 1952

SEBI - The Union Cabinet today approved amendments to the Forward Contracts (Regulation) Act 1952 by introducing the Forward Contracts (Regulation) Amendment Bill, 2010 in the Parliament. After the Bill is passed and enacted by the Parliament, Forward Mark...

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Sebi panel favours 100 percent open offer

SEBI - Takeovers are set to get costlier with a Sebi panel favouring making it mandatory for the acquirer to make an offer for up to 100 per cent stake in any listed company.As of now, an open offer for a minimum of 20 per cent in the target company is required to be made by any entity that has purchased 15 per cent equity, either from the promo...

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Sebi challenges Securities Appellate Tribunal order on Takeover Code

SEBI - The market watchdog Sebi today moved the Supreme Court challenging the decision of the appellate tribunal SAT that held that financial investors like PEs and VCs do not acquire controlling stake in a company by just picking up more equity....

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Liability of Directors for Events Taken Place Before Appointment- SAT Ruling

Mr. Nimain Charan Biswal (Securities And Exchange Board Of India) - In one of the recent rulings of the SAT, Mumbai, the interim order passed by SEBI in the matter of Neesa Technologies Limited(Company) has been quashed qua one of the directors i.e. Mr. Nimain Charan Biswal who had joined and resigned from the directorship of the Company before the issuance of Non-c...

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Company not eligible to bring rights issue till prohibitory orders against promoter group is in force

SRM Energy Ltd. Vs SEBI (Securities Appellate Tribunal Mumbai) - Regulation 4 appears under Chapter II providing common conditions for public issues and rights issues. It prescribes general conditions meaning thereby that unless the requirements laid down in these general conditions are satisfied, the Board will not proceed with granting its clearance for the iss...

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If documents asked for are relevant and may help delinquent to prepare his/her defence they have to be furnished

Smitaben N. Shah Vs. SEBI (Securities Appealate Tribunal Mumbai) - Where the details in the charts relied upon in the show-cause notice have been culled out from the trade and order logs and, in the circumstances of the case, it was not only relevant but even necessary that the appellant be furnished with those trade and order logs so that she could possibly make o...

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Union Cabinet approves amendment to the Forward Contracts (Regulation) Act 1952

The Union Cabinet today approved amendments to the Forward Contracts (Regulation) Act 1952 by introducing the Forward Contracts (Regulation) Amendment Bill, 2010 in the Parliament. After the Bill is passed and enacted by the Parliament, Forward Mark...

Read More

Investment by Financial Investor with protective rights for investments should not result in vesting of ‘Control’ of the Target Company with financial investor

MSK Projects India Limited (‘MSK’ or ‘the Target Company’), issued and allotted fully paid-up equity shares to Subhkam Ventures (I) Private Limited (‘Subhkam’), erstwhile Subhkam Holding Private Limited, on preferential basis representing 17.90 percent of the post preferential issued sha...

Read More
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Recent Posts in "Securities Appellate Tribunal"

Liability of Directors for Events Taken Place Before Appointment- SAT Ruling

Mr. Nimain Charan Biswal (Securities And Exchange Board Of India)

In one of the recent rulings of the SAT, Mumbai, the interim order passed by SEBI in the matter of Neesa Technologies Limited(Company) has been quashed qua one of the directors i.e. Mr. Nimain Charan Biswal who had joined and resigned from the directorship of the Company before the issuance of Non-convertible Debentures (NCDs),the subject...

Read More

Periodic Compliance Calendar for Listed Companies

Enclosed is the list of minimum periodic compliances to be done by a Listed Entity pursuant to the provisions of the Companies Act and SEBI Regulations....

Read More
Posted Under: SEBI |

Comparative analysis of Listing Agreement between SEBI Listing Regulations, 2015

Comparative analysis between listing agreement and Chapter IV of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015- Transfer or transmission of securities and issue certificates within 15 days from the date of such receipt of request for transfer....

Read More
Posted Under: SEBI |

Quarterly Compliances for listed Companies for Quarter Ended Q4- Jan‘15 to Mar’15

​CS ​ Amey A Patwardhan Quarterly Compliances for listed Companies for the Quarter Ended Q4- Jan‘15 to Mar’15 Sl. No. Compliances / Filings Last Date 1 Shareholding Pattern- to be submitted to BSE / NSE- both physically & electronically – through NEAPS within 21 days of end of quarter. (Clause 35 of Listing Agreement) 21-Apr...

Read More
Posted Under: SEBI |

Company not eligible to bring rights issue till prohibitory orders against promoter group is in force

SRM Energy Ltd. Vs SEBI (Securities Appellate Tribunal Mumbai)

Regulation 4 appears under Chapter II providing common conditions for public issues and rights issues. It prescribes general conditions meaning thereby that unless the requirements laid down in these general conditions are satisfied, the Board will not proceed with granting its clearance for the issue of capital. These conditions must be ...

Read More
Posted Under: SEBI | |

SC directs Sahara to approach SAT against SEBI order directing to return the money collected from investors for an OFCD scheme

NEW DELHI: The Supreme Court today directed Sahara Group firm Sahara India Real Estate Corp to approach the Securities Appellate Tribunal against market regulator SEBI's order directing the return of money collected from investors for an OFCD scheme within a period of three weeks.A three-member bench headed by Chief Justice S H Kapadia al...

Read More
Posted Under: SEBI |

TDSAT asks Videocon to pay 60 percent penalty; admits case

Telecom tribunal TDSAT today asked another new operator Videocon Telecom to pay 60 per cent of Rs 12.45 crore penalty slapped on it by the Department of Telecom for missing roll-out obligations, while admitting its appeal against DoT. ...

Read More
Posted Under: SEBI |

If documents asked for are relevant and may help delinquent to prepare his/her defence they have to be furnished

Smitaben N. Shah Vs. SEBI (Securities Appealate Tribunal Mumbai)

Where the details in the charts relied upon in the show-cause notice have been culled out from the trade and order logs and, in the circumstances of the case, it was not only relevant but even necessary that the appellant be furnished with those trade and order logs so that she could possibly make out a case based on other orders punched ...

Read More
Posted Under: SEBI |

Union Cabinet approves amendment to the Forward Contracts (Regulation) Act 1952

The Union Cabinet today approved amendments to the Forward Contracts (Regulation) Act 1952 by introducing the Forward Contracts (Regulation) Amendment Bill, 2010 in the Parliament. After the Bill is passed and enacted by the Parliament, Forward Mark...

Read More
Posted Under: SEBI | ,

Sebi panel favours 100 percent open offer

Takeovers are set to get costlier with a Sebi panel favouring making it mandatory for the acquirer to make an offer for up to 100 per cent stake in any listed company.As of now, an open offer for a minimum of 20 per cent in the target company is required to be made by any entity that has purchased 15 per cent equity, either from the promo...

Read More
Posted Under: SEBI | ,
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