Capital market

Front-running – Applicable to non-intermediaries?

Front-running is an illegal practice where, a stock broker or any other intermediary derives benefit from the advance knowledge of its customer™s trade. Definitions The Eight edition of Black™s law dictionary defines front-running as A broker™s or analyst™s use of non public information to acquire securities or enter into options or future contracts for his or her own benefit, knowing that… Read More

Tags: 2003 RegulationBlack's Law DictionaryCapital marketDipak Patel OrderFront runningProhibition of FraudulentSATSEBISecurities & Exchange Board of IndiaSecurities marketThe HonourableUnfair competition

Qualified Central Counterparties in Securities Market

National Securities Clearing Corporation Limited (NSCCL), Indian Clearing Corporation Limited (ICCL) and MCX-SX Clearing Corporation Limited (MCX-SXCCL) are the Qualified Central Counterparties (QCCPs) in the Indian Securities Market jurisdiction. These clearing corporations have qualified as QCCPs in view of the fact that these are regulated by Securities and Exchange Board of India (SEBI) under SEBI… Read More

Tags: Capital marketFinancial Market InfrastructureFinancial Stability BoardInternational Organization of Securities CommissionsIOSCORegulationSecurities & Exchange Board of IndiaSecurity (finance)

Role of SEBI in Capital Market: Developments and Challenges

INTRODUCTION The SEBI, that is, the Securities and the Exchange Board of India, is the national regulatory body for the securities market, set up under the securities and Exchange Board of India Act, 1992, to protect the interest of investors in securities and to promote the development of, and to regulate the securities market and… Read More

Tags: BusinessCapital marketExchange Board of India ActIndiaMutual fundRegulationSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Stock exchange

“Capital Market Frauds and Malpractices – Genesis, Resolution and Prevention” :: National Conference organized by PHDCCI

Presents National Conference on  Capital Market Frauds and Malpractices - Genesis, Resolution and Prevention - The growing number and size of capital market frauds are now a great cause of worry to the regulators, as besides hurting the investors, these harm the economy significantly. There are various kinds of frauds in defiance of the laws.… Read More

Tags: Capital marketChamber of commerceCompanies ActFrench Section of the Workers' InternationalNew DelhiPHDCCISEBISecurities & Exchange Board of IndiaSFIO

SEBI (Investment Advisers) Regulations, 2013

The SEBI (Investment Advisers) Regulations, 2013 (IA Regulations) were notified on January 21,2013 and have come into effect from April 21, 2013. The IA Regulations are available on the SEBI website www.sebi.gov.in The details of the investment advisers registered and the details of the pending applications for grant of registration along with the status of the… Read More

Tags: BusinessCapital marketFinancial AdviserFinancial servicesInvestmentRegulationSEBISecurities & Exchange Board of India

General Guidelines for dealing with Conflicts of Interest of Intermediaries, Recognised Stock Exchanges, Recognised Clearing Corporations, Depositories and their Associated Persons in Securities Market

CIRCULAR CIR/MIRSD/5/2013                                           August 27, 2013 To Registered Intermediaries Recognised Stock Exchanges Recognised Clearing Corporations Depositories Sir/ Madam, Sub: General Guidelines for dealing with Conflicts of Interest of Intermediaries, Recognised Stock Exchanges, Recognised Clearing Corporations,… Read More

Tags: Capital marketMadamPersonSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Securities marketStock exchange

MCA Notification – Power of ROCs to obtain declaration/ affidavits from subscribers/first directors at the time of incorporation

Circular No: 11/2013 File No. 17/118/2012 CL V Government of India Ministry of Corporate Affairs 5th Floor, Shastri Bhawan Rajendra Prasad Road New Delhi 110001 Dated: 29th May, 2013 To All Regional Directors All Registrar of Companies Sub: Power of ROCs to obtain declaration/ affidavits from subscribers/first directors at the time of incorporation. Sir, The matter of… Read More

Tags: Capital marketCompanies ActGovernment of IndiaRegistrar of CompaniesSanjay ShoreySecurities & Exchange Board of IndiaThe Companies Act 1956

Regulation and De-regulation of the Stock Market in India

PROJECT TITLE: REGULATION AND DE-REGULATION OF THE STOCK MARKET IN INDIA PREPARED BY: PUSHKAR THAKUR INTRODUCTION With internationalization, and the entry of new entities, government controls become ineffective. The de-regulation movement of the eighties sought to make regulatory structures for capital markets similar across emerging market economies (EMEs) in order to encourage capital movements yet… Read More

Tags: AmendmentCapital marketCrown Castle International Corp.EXTERNALITYIndiaInvestmentRegulationSEBISecurities & Exchange Board of IndiaStock market

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