Securities Law

Supreme Court dismisses appeal in securities matter: CAB Securities vs. NSE (2020)

/ Appeals, Arun Mishra, Civil Procedure, Judges, M.R. Shah, Securities Appellate Tribunal, Securities Law

Supreme Court dismisses appeal in securities matter: CAB Securities vs. NSE (2020) LEGAL ISSUE: Whether the Securities Appellate Tribunal’s order warrants interference by the Supreme Court. CASE TYPE: Securities Law Case Name: CAB Securities Limited vs. National Stock Exchange of India Limited Judgment Date: 17 February 2020 Date of the Judgment: 17 February 2020 Citation: […]

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Supreme Court Clarifies Collective Investment Scheme Regulations for Trusts: OSIANS CONNOISSEURS OF ART PVT. LTD. vs. SEBI (2020)

/ Collective Investment Scheme, Judges, R. F. Nariman, S. Ravindra Bhat, SEBI (Collective Investment Scheme) Regulations, 1999, Securities Law, Securities Law with Section 11AA, Trust Law, V. Ramasubramanian

Supreme Court Clarifies Collective Investment Scheme Regulations for Trusts: OSIANS CONNOISSEURS OF ART PVT. LTD. vs. SEBI (2020) LEGAL ISSUE: Whether a trust operating a collective investment scheme is subject to the regulations of the Securities and Exchange Board of India (SEBI). CASE TYPE: Securities Law/Collective Investment Scheme Case Name: OSIANS CONNOISSEURS OF ART PVT.

Supreme Court Clarifies Collective Investment Scheme Regulations for Trusts: OSIANS CONNOISSEURS OF ART PVT. LTD. vs. SEBI (2020) Read Post »

Supreme Court directs Securities Appellate Tribunal to reconsider penalty on PRRSAAR for financial irregularities: PRRSAAR vs. National Stock Exchange (2019)

/ A.M. Khanwilkar, Dinesh Maheshwari, Disciplinary Proceedings, Judges, National Stock Exchange of India, National Stock Exchange of India with Bye-law 8(a), National Stock Exchange of India with Chapter IV Rule 1, National Stock Exchange of India with Circular dated 27.06.2013, Securities Appellate Tribunal, Securities Law

Supreme Court directs Securities Appellate Tribunal to reconsider penalty on PRRSAAR for financial irregularities: PRRSAAR vs. National Stock Exchange (2019) LEGAL ISSUE: Whether the Securities Appellate Tribunal (SAT) properly considered the quantum of punishment imposed on a trading member by the National Stock Exchange (NSE) for financial irregularities. CASE TYPE: Securities Law, Disciplinary Proceedings Case

Supreme Court directs Securities Appellate Tribunal to reconsider penalty on PRRSAAR for financial irregularities: PRRSAAR vs. National Stock Exchange (2019) Read Post »

Supreme Court clarifies fraudulent trading in derivatives: SEBI vs. Rakhi Trading (2018)

/ Adjudication, Derivatives Market, Judges, Kurian Joseph, R. Banumathi, Securities and Exchange Board of India (Prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Market) Regulations, 2003, Securities and Exchange Board of India Act, 1992, Securities and Exchange Board of India Act, 1992 with Section 15HA, Securities and Exchange Board of India Act, 1992 with Section 15T, Securities Contracts (Regulation) Act, 1956, Securities Law

Supreme Court on Synchronized Trading and Market Manipulation in Derivatives LEGAL ISSUE: Whether synchronized and reversed trades in the derivatives market constitute fraudulent and unfair trade practices. CASE TYPE: Securities Law Case Name: Securities and Exchange Board of India vs. Rakhi Trading Private Ltd. Judgment Date: 8 February 2018 Introduction Date of the Judgment: 8

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Front-Running by Non-Intermediaries: Supreme Court Clarifies Securities Market Regulations (20 September 2017)

/ Front-Running, Judges, Market Manipulation, N. V. Ramana, Ranjan Gogoi, Securities and Exchange Board of India (Prohibition of Fraudulent and Unfair Trade Practices) Regulations, 2003, Securities Law

Can individuals who are not intermediaries be held liable for front-running in the securities market? The Supreme Court of India addressed this important question in a series of appeals, clarifying the scope of the Securities and Exchange Board of India (Prohibition of Fraudulent and Unfair Trade Practices) Regulations, 2003. This judgment provides crucial insights into

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Supreme Court Clarifies “Non-Intermediary Front-Running” under SEBI Regulations: SEBI vs. Kanaiyalal Baldevbhai Patel (2017)

/ Judges, N. V. Ramana, Ranjan Gogoi, Securities and Exchange Board of India (Prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Market) Regulations, 2003, Securities and Exchange Board of India (Prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Market) Regulations, 2003 with Regulation 4(1), Securities and Exchange Board of India Act, 1992, Securities Law

Date of the Judgment: September 20, 2017 Citation: (2017) INSC 763 Judges: N. V. Ramana, J., Ranjan Gogoi, J. Can individuals who are not intermediaries be held liable for front-running in the securities market? The Supreme Court of India addressed this crucial question in a batch of appeals, clarifying the scope of the Securities and

Supreme Court Clarifies “Non-Intermediary Front-Running” under SEBI Regulations: SEBI vs. Kanaiyalal Baldevbhai Patel (2017) Read Post »

Supreme Court Interprets SEBI Takeover Regulations: Laurel Energetics vs. SEBI (2017)

/ Companies Act, 1956, Judges, R.F. Nariman, Sanjay Kishan Kaul, SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011, SEBI Regulations, Securities Law, Takeover Regulations

Can inter se transfers of shares between promoters be exempt from open offer obligations under SEBI regulations if the target company is a result of a demerger? The Supreme Court of India addressed this question in a recent judgment. The core issue revolved around whether the three-year promoter status should be calculated from the date

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