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SEBI COMPLIANCE LAPSES
Angel One settles Sebi proceedings over lapses in monitoring authorised persons, pays Rs 4.28 croreAngel One has settled Sebi's adjudication and enquiry proceedings by paying Rs 4.28 crore. The regulator had alleged supervisory and monito...- Insurance CEOs’ pay now linked to claims and customer grievances: What it means for policyholdersInsurance CEOs’ remuneration will now partly depend on how well they treat policyholders, from settling claims to resolving complaints. A t...
- United Breweries says employee mistakenly shared draft financial results, reports disclosureUnited Breweries has disclosed an unintentional leak of draft financial results. An employee shared unpublished price-sensitive information...
- Liquidity unlocked, access denied: With rating rules, how TReDS leaves most MSMEs behindDespite the government’s TReDS push, experts say the RBI’s move to ease onboarding lacks clarity as credit ratings continue to be a key bot...
- Sebi grants one-time relaxation to companies planning public issuesThe Securities and Exchange Board of India (Sebi) has granted a one-time extension for observation letters of public issue companies, valid...
- Sebi grants one-time extension for IPO observation validity amid geopolitical volatilitySEBI granted a extension for observation letters validity until September 30, 2026, helping companies facing fundraising challenges due to ...
- Rent an adviser, boards: How firms can tap bureaucrats’ wisdom without boardroom conflictsFormer government officials and regulators are increasingly joining private companies. This practice raises concerns about potential confli...
- JPMorgan settles Sebi case, pays Rs 34 lakhJP Morgan Chase Bank has agreed to pay 34 lakh rupees to Sebi following violations related to foreign portfolio investor laws. Their misste...
- Standard Chartered Bank settles Sebi case over FPI lapsesStandard Chartered Bank has settled a case with market regulator Sebi. The bank agreed to pay Rs 57 lakh for alleged lapses as a designated...
- BSE fined Rs 25 lakh for 'unequal' access to corporate disclosuresSebi has imposed a ₹25 lakh fine on the BSE for its failure to ensure equitable and transparent access to corporate disclosures for all sta...
- Paytm board members levied Rs 3.3 crore fine in total by SebiThe fines have been imposed on independent directors Ashit Ranjit Lilani, Neeraj Arora, Mark Schwartz, Pallavi Shardul Shroff, non-executiv...
- Sebi issues warning letter to HDFC BankThe warning letter dated December 9 was received by the bank on December 11. The stock, about a percentage point away from all-time highs, ...
- Exchanges warn Religare for not disclosing RBI rejection on Asthana’s appointmentMumbai's stock exchanges, BSE and NSE, have issued warning letters to Religare Enterprises for delaying the disclosure of the RBI's rejecti...
- Embassy Office Parks shares in focus as CEO steps down after Sebi directiveShares of Embassy Office Parks REIT are in focus as CEO Aravind Maiya was suspended by SEBI for violating compliance norms. Maiya will tran...
- BSE, NSE warn Suzlon for LODR non-complianceSuzlon Energy has been issued an advisory cum warning letter from both the National Stock Exchange (NSE) and BSE Ltd, regarding non-complia...
- NSE issues warning letter to Suzlon for disclosure lapsesIn its letter to Suzlon, NSE observed that a disclosure of an analyst's call of the company held on November 6, 2023, was submitted to the ...
- NSE, BSE impose fines on Power Grid CorpIt informed that the company has received notices from NSE and BSE on November 21, 2023, regarding non-compliance with the provision of Reg...
- After NHAI, Sebi pulls up UP Power Corporation for disclosure lapsesIn a show cause notice sent to UP Power Corporation in July 2020, the regulator accused UP Power Corporation of violating the listing norms...
- SAT imposes Rs 50,000 penalty on Sebi for lapses in probeLegal experts said SAT has been proactive in providing relief to aggrieved parties of late.
- Sebi disposes of case against Indiabulls Mutual FundSebi disposed of a case against Indiabulls Mutual Fund in a matter related to alleged procedural lapses in declaration and distribution of ...
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