SEBI - Page 2

Demystifying Yes Bank Case: An Eye Opener For Promoters?

Background The duty to disclose “encumbrances” arose in 2009 when the Satyam scandal surfaced wherein the promoters had pledged their shares to financial institutions without the knowledge of the remaining shareholders. Thereafter, the norms regarding disclosure of encumbrances were tightened in the interests of investors and other st...

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A Sigh of Respite: Additional Relaxations in SEBI LODR Regulations

At a time when many listed entities are facing challenges to comply with the various provisions specified in Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations 2015 (‘SEBI LODR’ or ‘LODR’) due to COVID-19 Pandemic, the Securities and Exchange Board of India (‘SEBI’) has...

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Offer of RPS was considered as deemed public issue and abide by public issue norms of SEBI

In re Deemed Public Issue Norms (Securities and Exchange Broad of India)

In re Deemed Public Issue Norms (Securities and Exchange Broad of India) Conclusion:  Offer of RPS by the company and pursuant allotment were deemed public issue of securities under the first proviso to Section 67(3) of the Companies Act, therefore, all the noticees were jointly and severally with the company forthwith refund the money c...

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Relaxations from LODR Regulations by SEBI necessitating out of MCA circulars

Relaxations Provided By SEBI In View of COVID-19 Pandemic SEBI (Listing Obligations And Disclosure Requirements) Regulations 2015 Vide Its Circular Dated May 12, 2020 Relaxations necessitating out of MCA circulars Regulation No. Requirement as per the LODR Relaxation in view of COVID-19 Pandemic Regulation 36 (1)(b) and (c) – Docume...

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Insider Trading: An Imperceptible Crime of Indian Securities Market

Insider Trading means buying or selling a security, in breach of a fiduciary duty or other relationship of trust and confidence, while in possession of material, nonpublic information about the security. One who has access to confidential information about company’s affair would have an unjust benefit over other investors....

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Additional relaxation from compliance with SEBI LODR Regulations

Circular No.: SEBI/HO/CFD/CMD1/CIR/P/2020/79 (12/05/2020)

SEBI vide Circular No. SEBI/HO/CFD/CMD1/CIR/P/2020/79 dated 12th May, 2020  provided Additional relaxation in relation to compliance with certain provisions of SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015 – Covid-19 pandemic. Full text of the SEBI Circular is as follows:- Securities and Exchange Board of Indi...

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Margin Trading – A Guide

Investors normally trade in securities using their own funds. Sometimes, based on the market conditions in stock exchange, they wish to trade beyond their owned resources. This type of trading in the securities is supported by the borrowing facility for funds and securities, in the system....

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SEBI relaxes procedure related to Right issue and Listing

SEBI vide Circular No. SEBI/HO/CFD/DIL2/CIR/P/2020/78 dated 06th May, 2020 has issued Circular titled  ‘Relaxations relating to procedural matters – Issues and Listing’  by which SEBI has granted the following one time relaxations from strict enforcement of certain regulations of SEBI (Issue of Capital and Disclosure Requi...

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FAQs on Compliance Audit for Investment Advisers

We have been receiving multiple questions related to Compliance audit requirement by SEBI Registered Investment Adviser. Based on that we have attempted to capture some of the common questions. Q 1. What is Compliance Audit? Ans: Basically Compliance Audit is checking of the compliances followed by the Investment Advisers as stated under ...

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BSE relaxations granted in relation to compliance with SEBI provisions on account of COVID-19 pandemic

BSE issued relaxations granted in relation to compliance with various provisions on account of COVID-19 pandemic Considering the hardships faced by the listed entities due to the lockdown pursuant to the COVID-19 Pandemic, SEBI has issued various circulars notifying relaxations in the timelines by which the compliance filing required unde...

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