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The Australian Securities and Investments Commission (ASIC) may apply for a declaration of contravention of civil penalty provisions of the Corporations Act 2001, pecuniary penalty orders , compensation orders and orders disqualifying a person from managing corporations for a period . In proceedings in which declarations of contravention, pecuniary penalty orders and disqualification orders were sought, ASIC alleged that the defendants who are the present respondents had each breached his or her duty as a director or an officer of a listed public company. ASIC alleged, and the directors denied, that the directors had approved the company’s releasing to the Australian Stock Exchange an announcement that was misleading. The minutes of the board meeting, confirmed at a subsequent board meeting, recorded the tabling of a draft announcement and its approval by the board.
The complaints received by SEBI against SEs and Depositories shall be electronically sent through SCORES. You are advised to view the pending complaints at http://scores.gov.in/admin and submit the Action Taken Report (ATR) along with supporting documents electronically in SCORES. Please note that updation of action taken shall not be possible with physical ATRs. Hence, submission of physical ATR shall not be accepted for complaints lodged in SCORES.
The stock exchanges may consider shifting the trading in these securities to normal Rolling Settlement subject to the following: (a) At least 50% of other than promoter holdings as per clause 35 of Listing Agreement are in dematerialized mode before shifting the trading in the securities of the company from TFTS to normal Rolling Settlement. For this purpose, the listed companies shall obtain a certificate from its Registrar and Transfer Agent (RTA) and submit the same to the stock exchange/s. However, if an issuer-company does not have a separate RTA, it may obtain a certificate in this regard from a practicing company Secretary/Chartered Accountant and submit the same to the stock exchange/s.
The Applicant for grant of registration as an Alternative Investment Fund under SEBI (Alternative Investment Funds) Regulations, 2012 should make an application to SEBI in Form A as provided in the Regulations along with all the necessary documents.
. On a review, it has been decided to revise the reporting timelines specified in para 3 of Circular dated January 17, 2011 which are as follows:- a. FIIs issuing ODIs/PNs shall submit details of ODI/PN transaction report (Annexure A, B and C) along with the monthly summary report by 10th of every month for previous month`s ODI transactions. The first such report shall be submitted for the month of October 2012 by November 10, 2012. b. The details of ODI/PN transaction report for month of December 2011 to April 2012 shall be submitted with six months lag.
Circular No. CIR/IMD/ FII&C/13/2012 On a review and in consultation with the Government of India (GoI) and RBI, it has been decided to revise the definition of QFI as under: QFI shall mean a person who fulfils the following criteria: (i) Resident in a country that is a member of Financial Action Task Force (FATF) or a member of a group which is a member of FATF; and (ii) Resident in a country that is a signatory to IOSCO’s MMOU (Appendix A Signatories) or a signatory of a bilateral MOU with SEBI:
It was alleged in the complaint that the complainant, a proprietor of a firm based in Ahmedabad & engaged in share trading, was barred from trading by Securities Exchange Board of India(SEBI) in September, 2011 for market manipulation using Global Depository Receipts (GDR) issues. Subsequently, investigation was initiated by the SEBI against the firm.
EBI vide circular dated December 29, 2008 issued guidelines in respect of exit option to stock exchanges. The exit policy of aforesaid exchanges has been reviewed by the Board and the said Circular stands revised/modified to the extent as under.
The Consent order, containing the alleged misconduct, legal provisions alleged to have been violated, facts and circumstances of the case and the consent terms, shall be hosted on the website of SEBI.
Gross open positions of the bank across all contracts (both futures and options contracts) not to exceed 15% of the total open interest or USD 100 million whichever is lower.
