SEBI

SEBI imposes penalty on AIF for reporting incorrect amount of investable funds

In re Indgrowth Capital Advisors LLP (SEBI)

Allegations in the SCN to the effect that Noticee had exceeded the limit of investment by investing more than 10% of the investable funds in Ugro Capital Limited stands substantiated. Likewise, the allegation that the figures reported by the Noticee under the head investable funds is incorrect also stands proved....

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SEBI imposes penalty on RIL for JIO Facebook Deal

Whether Noticee 1, 2 and 3 have violated the SEBI Regulations by not disclosing or clarifying to the Stock Exchange the UPSI relating to JIO Facebook deal which got disclosed through the publication in the newspaper?...

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SEBI directed Dish TV to disclose AGM results within 24 hours

Re Dish TV India Limited & Ors (SEBI)

In Re Dish TV India Limited & Ors (SEBI) SEBI, vide its order dated 07th March, 2022 directed Dish TV Ltd to disclose the result of its annual general meeting held on 30th December, 2021 within 24 hours. The order further stated that according to SEBI LODR, Regulations, 2015 it is mandatory for every listed […]...

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Siphoned Off Funds – SEBI Bars Anil Ambani & RHFL From Securities Market

In Re matter of Reliance Home Finance Limited & Ors. (Securities and Exchange Board of India)

In Re matter of Reliance Home Finance Limited & Ors. (Securities and Exchange Board of India) Facts- The Securities and Exchange Board of India on Reliance Home Finance Ltd and other individuals from dealing with the securities market directly or indirectly for allegedly siphoning off/diversion of funds from the company. An investiga...

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Sebi Bans 14 Entities In Lux Industries Insider Trading Case

In Re Udit Todi & 13 Others (Securities and Exchange Board of India)

In Re Udit Todi & 13 Others (Securities and Exchange Board of India)  Capital markets regulator Sebi on Monday barred 14 entities for indulging in insider trading and ordered impounding ill-gotten gains of Rs 2.94 crore in the matter of Lux Industries Ltd. FULL TEXT OF THE ORDER OF SECURITIES AND EXCHANGE BOARD OF INDIA […]...

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SEBI order against Share Tips via social media platforms/Telegram

In Re Stock Recommendations using Social Media Channel (Telegram) (SEBI)

In Re Stock Recommendations using Social Media Channel (Telegram) (SEBI) despite taking all possible steps by SEBI like the one stated above, the miscreants always try to create a bypass to the Regulatory fence to implement their malicious schemes to earn unlawful gains. Like in the present case, the application of Telegram which is essen...

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Dealings in Illiquid Stock Options at the BSE – SEBI imposes Penalty

In Re Ashok Kumar Sharma HUF (SEBI)

SEBI conducted an investigation into the trading activity in illiquid stock options on BSE Limited for the period April 01, 2014 to September 30, 2015...

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SEBI imposes penalty for non-genuine trades to create artificial volumes in illiquid stock options

Pursuant to detailed analysis as brought out above, it is established that reversal trades are not normal transactions and it clearly demonstrates beyond reasonable doubt that the Noticee had intentionally executed these trades and manipulated the volume by artificial trading pattern in the contract ‘HPCL15FEB600.00CE’ where the trade...

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SEBI Imposes Penalty on Ripu Kundra, Shilpa Shetty & Viaan Industries

In Re Ripu Sudan Kundra, Shilpa Shetty & Viaan Industries in the matter of Viaan Industries Limited (SEBI)

In Re Ripu Sudan Kundra, Shilpa Shetty & Viaan Industries in the matter of Viaan Industries Limited (SEBI) FACTS OF THE CASE 1. Securities and Exchange Board of India (hereinafter referred to as ‘SEBI’) had conducted an investigation into the trading/dealings in the scrip of Viaan Industries Limited (formerly known as Hindustan Sa...

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Preferential Allotment

IMPORTANT DEFINITIONS:  1. Issuer: means a company or a body corporate authorized to issue specified securities under the relevant laws and whose specified securities are being issued and/or offered for sale in accordance with these regulations. 2. Specified Securities: means equity shares, fully convertible debentures, partly convertibl...

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