• Role of Sebi
    & avoid their unfair and anti-investor activities. 5. To promote self-regulatory organization of intermediaries. SEBI is given wide statutory powers. However, self-regulation is better than external regulation. Here, the function of SEBI is to encourage intermediaries to form their professional...
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  • Sahara vs Sebi Case
    Section 3 of the SEBI Act. Section 55A (inserted by the Companies (Amendment) Act, 2000) defines the powers of SEBI under the Companies Act. Section 55A embodies the powers transferred under the Companies Act to the body ‘SEBI’ established under Section 3 the SEBI Act. Section 55A embodies the powers...
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  • Sebi
    with turning around large public sector companies from near death scenarios including the famous Unit Trust of India. Below the Board, headed by the Chairman, the staff/officers of the organization are led by Executive Directors. Sebi has three functions rolled into one body: legislative, judicial...
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  • Sebi Act of 1992
    should have some residual power to disallow such issues. In this regard, the committee recommended that the following procedure may be adopted by SEBI: * The initial decision as to whether the issue should be permitted may be taken internally by SEBI. * If SEBI comes to a conclusion that the...
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  • Irda vs Sebi
    3 of SEBI act 1992. SEBI act 1992 provides for establishment of Securities & Exchange Board of India (SEBI) with statutory powers for a) protecting the interest of investors in securities. b) promoting the development of securities market and, c) regulating the securities market...
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  • Sebi
    Securities And Exchange Board To The Board) CHAPTER IV (Powers And Functions Of The Board) CHAPTER V (Registration Certificate) CHAPTER VA (Prohibition Of Manipulative And Deceptive Devices, Insider Trading And Substantial Acquisition Of Securities Or Control) CHAPTER VI (Finance, Accounts And...
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  • Fiis - Regulations and Impact on India
    the condition that it does not have a permanent establishment in India. The practice of participatory notes is acceptable provided SEBI has the powers to track down the final beneficiary for investigation or surveillance by making it obligatory for the FIIs to provide such information. PNs should...
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  • Insider Trading
    ., protecting the interests of the investors and regulating the business in stock markets and other securities markets. The Indian Exchange Commission, i.e., SEBI seeks to look after and secure the same. The Primary function of SEBI is to ensure that the interest of the innocent investors’ are protected...
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  • Law Paper Ca Final Examination
    appointed by CG to exercise all powers, discharge the functions & perform the duties to the authority under this Act/ LIC Act 1956/general insurance business Act 1972/ IRDA Act 1999 General insurance – fire, marine, or miscellaneous insurance business, whether carried on singly/in...
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  • Sebi Regulations and Guidelines to Investors
    capital market reforms initiated by SEBI. In spite of these reforms and increasing regulatory powers over the years, SEBI has been largely unsuccessful in controlling capital market scams. The strengths and weaknesses of SEBI as a regulatory organization are also examined. It describes the recent...
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  • Capital Market Reforms
    ------------------------------12 ➢ Recent Rules & Regulations Of SEBI --------------------------------29 ➢ Conclusions -------------------------------------------------------------67 ➢ Bibliography ----------------------------------------------------------------68...
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  • Merchant Banking
    regulate the functions of issue Management regulations * To perform the function of merchant banking as per the guidelines of rules and regulations of SEBI. * To draw a conclusion and suggestions based on analysis and experiences. Merchant Banking in India: Merchant banking can be describe...
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  • Sebi
    Exchange Board Of India)   * CHAPTER III (Transfer Of Assets, Liabilities, etc., Of The Existing Securities And Exchange Board To The Board)   * CHAPTER IV (Powers And Functions Of The Board)   * CHAPTER V (Registration Certificate)   * CHAPTER VA (Prohibition Of Manipulative And Deceptive...
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  • Initial Public Offer
    . SEBI issues authorization letter valid for 3 years and the company has to pay necessary fees. Such merchant banker can be appointed as lead manager for IPO. Functions- Merchant banker can work as lead manager, co-lead manager, investment banker...
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  • Collage Project
    • Carry out inspection/ audits of the SEs / intermediaries etc. • call for information from any bank / any authority / corporation / agencies in respect of any transaction in securities which is under investigation or inquiry by SEBI • performing such functions and exercising such powers under the...
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  • Role of Board of Directors
    ..........................................................................................17 4.2 Guidelines by Kumar Manglam Report…………………………………………………..20 4.3 Guidelines by OECD……………………………………………………………………...23 4.4 Guidelines by SEBI Listing Agreement Clause 49...
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  • Public Offer
    accentuates the requirement for funds. Hence, like the past, 2008 too would see many mid-sized issues dominating the IPO space. Out of the total 67 issues filed with SEBI, 34 issues (50%) are below INR 1 bn. Huge investments are slated to take place in the power sector under the 11th five year...
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  • Credit Risk Management
    powers and do all acts and things which may be exercised or done by the Board. Functions of SEBI SEBI has been obligated to protect the interests of the investors in securities and to promote the development of, and to regulate the securities market by such measures as it thinks fit. The measures...
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  • Cyber Laws and Rti
    Court held that there was no concept of quid pro quo in view of the nature of regulatory functions performed and the mode and manner of levy of fee to be adopted by the SEBI. Once the power of SEBI was accepted, there could not be a challenge to the methodology adopted for quantification of the fee...
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  • Investment Banking
    statutory powers. Its interim functions during the period were: i. To collect information and advise the Government on matters relating to Stock and Capital Markets. ii. Licensing and regulatory and Merchant Banks, Mutual Fund, etc.. iii. To prepare the legal drafts for regulatory...
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