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  • Article

    Tracker: SAT's Ruling In G.R.K Reddy V. SEBI: Setting Precedent For Regulatory Diligence

    The sequence of events began with Akshaya Infrastructure Ltd. ("Akshaya") making a public announcement on October 20, 2011...
    IndiaMedia, Telecoms, IT, Entertainment
    Finsec Law Advisors
    Finsec Law Advisors
  • Article

    No Room For Brokers On The ‘Float'ing Plank

    After the Karvy scam that rocked the broking industry a few years back, Securities and Exchange Board of India (SEBI) had come out with various circulars and guidelines to protect investors.
    IndiaCorporate/Commercial Law
    Finsec Law Advisors
    Finsec Law Advisors
  • Article

    Not Buying It On ‘Buy Now Pay Later'

    Reserve Bank of India's (RBI's) recent directive prohibiting prepaid payment instrument (PPI) operators from loading PPIs with credit lines has caused a major upheaval in the digital lending industry...
    IndiaFinance and Banking
    Finsec Law Advisors
    Finsec Law Advisors
  • Article

    SEBI Cracks Down On Finfluencers Again: Directions Against Baap Of Chart

    Nasir, operating as the sole proprietor of BoC, promoted himself as a stock market expert on various social media platforms.
    IndiaMedia, Telecoms, IT, Entertainment
    Finsec Law Advisors
    Finsec Law Advisors
  • Article

    ESG Rating Providers: New Kid On The Block

    In the past decade, many service providers have entered the ESG ratings industry, albeit without a regulatory oversight, or a uniform approach or benchmark for ESG ratings.
    IndiaCorporate/Commercial Law
    Finsec Law Advisors
    Finsec Law Advisors
  • Article

    Shifting Narratives: Supreme Court Weighs Down On SEBI's Burden

    The recent Supreme Court decision in the PC Jeweller case is expected to force the market regulator to adopt higher standards of proof while investigating potential offenders ...
    IndiaCorporate/Commercial Law
    Finsec Law Advisors
    Finsec Law Advisors
  • Article

    Blurring The Line Between Mandatory And Discretionary Disclosures: SEBI Proposes To Modify Disclosure Requirements For Listed Entities

    SEBI has time and again emphasised the need for listed companies to ensure adequate and timely disclosure of material information/events to investors to maintain transparency and fairness in the market.
    IndiaCorporate/Commercial Law
    Finsec Law Advisors
    Finsec Law Advisors
  • Article

    Regulating Algo Trading–Two Attempts, Two Misses?

    The Securities and Exchange Board of India (SEBI) recently issued a circular addressed to stock exchanges and brokers in relation to performance/return claimed by unregulated platforms...
    IndiaCorporate/Commercial Law
    Finsec Law Advisors
    Finsec Law Advisors
  • Article

    FINSEC Tracker - Decoding The Advertisement Code For Investment Advisers And Research Analysts

    All advertisements used by IAs/RAs must be approved by a SEBI recognized supervisory body before being circulated, published or used.
    IndiaMedia, Telecoms, IT, Entertainment
    Finsec Law Advisors
    Finsec Law Advisors
  • Article

    Supreme Court Provides Clarity On Power To Compound Offences Before SEBI

    On July 22, 2021, the Supreme Court of India (SC) in the matter of Prakash Gupta v. SEBI while interpreting Section 24A of the Securities and Exchange Board of India Act, 1992...
    IndiaCorporate/Commercial Law
    Finsec Law Advisors
    Finsec Law Advisors
  • Article

    SAT Reaffirms The Relevance Of Motive To Hold A Person Liable For Insider Trading

    On February 02, the Securities Appellate Tribunal (SAT/ Tribunal), in the matter of Quantum Securities Pvt. Ltd. v. SEBI and two other connected matters (Order), held that in order to penalise...
    IndiaCorporate/Commercial Law
    Finsec Law Advisors
    Finsec Law Advisors
  • Article

    Ramification Of SEBI's Informal Guidance To LGT Wealth On Research Analyst Activities

    A year ago, the Securities and Exchange Board of India ("SEBI") had caused a stir among several research analysts ("RAs") when it passed a settlement order in respect of ‘Mr. Amit Jeswani...
    IndiaCorporate/Commercial Law
    Finsec Law Advisors
    Finsec Law Advisors
  • Article

    Upholding Disgorgement Principles

    Capital markets operate under a constant threat of malpractices which benefit a select few, at the cost of public investors and market integrity.
    IndiaCorporate/Commercial Law
    Finsec Law Advisors
    Finsec Law Advisors
  • Article

    Making The Case For Mini-PMS To Fill A Vacuum For Retail Investors

    Shanaya S., a software professional aged 28, is looking to invest Rs. 20 lakhs in the stock market.
    IndiaStrategy
    Finsec Law Advisors
    Finsec Law Advisors
  • Article

    Simplifying M&As: Delisting With Open Offer

    A reform highly sought in the listed M&A space has recently been undertaken by SEBI.
    IndiaCorporate/Commercial Law
    Finsec Law Advisors
    Finsec Law Advisors
  • Article

    Key Outcomes Of The SEBI Board Meeting – Towards Better Governance

    In its board meeting held on December 20, 2022, the Securities and Exchanges Board of India approved a slew of proposals with regard to various SEBI regulations.
    IndiaCorporate/Commercial Law
    Finsec Law Advisors
    Finsec Law Advisors
  • Article

    SEBI Issues Revised Regulatory Sandbox Policy

    On June 14, 2021, Securities and Exchange Board of India (SEBI) issued a circular on 'Revised Framework for Regulatory Sandbox' (Revised Sandbox Policy), revising the erstwhile framework issued by SEBI...
    IndiaCorporate/Commercial Law
    Finsec Law Advisors
    Finsec Law Advisors
  • Article

    SEBI Board Meeting: Dissecting The Key Outcomes

    The Securities and Exchange Board of India (SEBI), in its board meeting held on June 28, 2023, approved a number of changes to the regulatory regime...
    IndiaCorporate/Commercial Law
    Finsec Law Advisors
    Finsec Law Advisors
  • Article

    Trade Talk: The Future Of Algo Trading

    Securities and Exchange Board of India (SEBI) proposed a framework for algorithmic trading by retail investors on December 09, 2021,
    IndiaFinance and Banking
    Finsec Law Advisors
    Finsec Law Advisors
  • Article

    Tracker – Dissecting SEBI's Proposed Changes To Delisting Norms

    The Securities and Exchange Board of India ("SEBI"), on August 14, 2023, released a Consultation Paper on the Review of Voluntary Delisting Norms under the SEBI (Delisting of Equity Shares) Regulations, 2021 ("the Paper").
    IndiaCorporate/Commercial Law
    Finsec Law Advisors
    Finsec Law Advisors

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