Saibal C.Pal

Codes of Fair Disclosure and Conduct – Provisions under SEBI (Prohibition of Insider Trading) Regulations, 2015

SEBI - To check Insider trading, R 8(1) of the Regulations states that the Board of Directors of every listed company shall lay down and publish on its official website, a code of practices and procedures for fair disclosure of unpublished price sensitive information that would be followed to adhere to each of the principles laid down in Schedul...

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Disclosure of Trading by Insiders as per SEBI (Prohibition of Insider Trading) Regulations, 2015 – Preview

SEBI - 1. Introduction The new Regulations aim at strengthening disclosure at different stages to ensure transparency for an orderly securities market. The provisions on disclosure are discussed hereinafter. 2. Provisions under the Regulations Chapter III of the SEBI (Prohibition of Insider Trading) Regulations,2015 requires disclosures of tradi...

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Trading by Insiders – approach under SEBI (Prohibition of Insider Trading) Regulations of 2015

SEBI -  1. Introduction Stock market is all about dealing in securities. It is a specialized market. Stock markets are formed under the Securities Contracts (Regulation) Act,1956 and the operations are regulated by the Securities Contracts (Regulation Rules,1957. SEBI formed as per the Securities and Exchange Board of India Act, 1992 is the reg...

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SEBI (POIT) Regulations 2015 – includes pledge under `trading’ by `insider’

SEBI - Business needs capital which promoters arrange. Since promoters conceive the idea of the business, bring in fund, human capital they are allowed to control the enterprise they build. While ownership control remains with the promoter, the Board of Directors of a company may comprise of different persons nominated by the promoter or promote...

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'Trading Plans’ – Exemption provision under SEBI (Prohibition of Insider Trading) Regulations, 2015

SEBI - S 12A (d) of the SEBI Act, 1992(`ACT’) prohibits insider trading securities in the securities market. S 15 G of the Act lays down penalty to be paid by a person who is engaged in insider trading. R 5 (1) of the SEBI ( Prohibition of Insider Trading ) Regulations,2015 (`REGULATIONS’) defines an ` Insider’ […]...

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Recent Posts in "Saibal C.Pal"

Codes of Fair Disclosure and Conduct – Provisions under SEBI (Prohibition of Insider Trading) Regulations, 2015

To check Insider trading, R 8(1) of the Regulations states that the Board of Directors of every listed company shall lay down and publish on its official website, a code of practices and procedures for fair disclosure of unpublished price sensitive information that would be followed to adhere to each of the principles laid down in Schedul...

Read More
Posted Under: SEBI |

Disclosure of Trading by Insiders as per SEBI (Prohibition of Insider Trading) Regulations, 2015 – Preview

1. Introduction The new Regulations aim at strengthening disclosure at different stages to ensure transparency for an orderly securities market. The provisions on disclosure are discussed hereinafter. 2. Provisions under the Regulations Chapter III of the SEBI (Prohibition of Insider Trading) Regulations,2015 requires disclosures of tradi...

Read More
Posted Under: SEBI |

Trading by Insiders – approach under SEBI (Prohibition of Insider Trading) Regulations of 2015

 1. Introduction Stock market is all about dealing in securities. It is a specialized market. Stock markets are formed under the Securities Contracts (Regulation) Act,1956 and the operations are regulated by the Securities Contracts (Regulation Rules,1957. SEBI formed as per the Securities and Exchange Board of India Act, 1992 is the reg...

Read More
Posted Under: SEBI |

SEBI (POIT) Regulations 2015 – includes pledge under `trading’ by `insider’

Business needs capital which promoters arrange. Since promoters conceive the idea of the business, bring in fund, human capital they are allowed to control the enterprise they build. While ownership control remains with the promoter, the Board of Directors of a company may comprise of different persons nominated by the promoter or promote...

Read More
Posted Under: SEBI |

'Trading Plans’ – Exemption provision under SEBI (Prohibition of Insider Trading) Regulations, 2015

S 12A (d) of the SEBI Act, 1992(`ACT’) prohibits insider trading securities in the securities market. S 15 G of the Act lays down penalty to be paid by a person who is engaged in insider trading. R 5 (1) of the SEBI ( Prohibition of Insider Trading ) Regulations,2015 (`REGULATIONS’) defines an ` Insider’ […]...

Read More
Posted Under: SEBI |

ESOPs & Insider Trading – Provision as per SEBI (POIT) Regulations, 2015

`ESOPs’ (Employee Stock Option Scheme) now are covered by the SEBI (Prohibition of Insider Trading) Regulations, 2015. Remuneration by allotment of shares  can be paid to directors, officers, employees of companies in the form of ESOPs. S 2(37) of the Companies Act, 2013 defines `Employees Stock Option Scheme’ as the option given to ...

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Posted Under: SEBI |

SEBI (Prohibition of Insider Trading) Regulations, 2015 & Companies Act, 2013

SEBI (Prohibition of Insider Trading) Regulations, 2015 & Companies Act, 2013 – Discussion on provision dealt under Regulations and Act 1. Introduction SEBI ( Prohibition of Insider Trading) Regulations,2015 has come into force with effect from 15th May, 2015 after having been gazetted on 15th January,2015. It replaces the Regualtio...

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Posted Under: SEBI |

SEBI (Prohibition of Insider Trading) Regulations, 2015 and Capital Market – A Critique

The ambit of persons who fall within the definition of ` insider’ ( Reg 2(g) ) as per the Regulations has been expanded. It includes both entities and individuals. Patterns of behavior on transactions by an insider and manner of sharing price sensitive information (UPSI) have been laid down explicitly,...

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Posted Under: SEBI |

Ponzi Virus that floored companies & investors like Tsunami – Companies Act, 1956 & Companies Act, 2013

In 2013 and 2014 Ponzi Virus attacked companies and brought them down to their knees. Public at large were see to suffer. There were deaths, hue and cry all round. Governments stood shaken. Supreme Court had to intervene. About 200 plus companies were named having engaging money circulation schemes without SEBI registration which is manda...

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Posted Under: SEBI |

Websites – Tool to Corporate Governance Excellence in Corporate India

On 30th August,2013, the Companies Act, 2013 replaced the Companies Act,1956 in part after about 57 years. Part of the Act was made operative during the year 2013-14 and some during 2014-15. Other provisions are awaiting notification. ...

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Posted Under: SEBI |
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