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 Regulation, Black's Law Dictionary, Capital market, Dipak Patel Order, Front running, Prohibition of Fraudulent, SAT, SEBI, Securities & Exchange Board of India, Securities market, The Honourable, Unfair 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 market, Financial Market Infrastructure, Financial Stability Board, International Organization of Securities Commissions, IOSCO, Regulation, Securities & Exchange Board of India, Security (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: Business, Capital market, Exchange Board of India Act, India, Mutual fund, Regulation, SEBI, Securities & Exchange Board of India, Securities and Exchange Board of India Act 1992, Stock 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 market, Chamber of commerce, Companies Act, French Section of the Workers' International, New Delhi, PHDCCI, SEBI, Securities & Exchange Board of India, SFIO
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: Business, Capital market, Financial Adviser, Financial services, Investment, Regulation, SEBI, Securities & 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 market, Madam, Person, SEBI, Securities & Exchange Board of India, Securities and Exchange Board of India Act 1992, Securities market, Stock 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 market, Companies Act, Government of India, Registrar of Companies, Sanjay Shorey, Securities & Exchange Board of India, The 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: Amendment, Capital market, Crown Castle International Corp., EXTERNALITY, India, Investment, Regulation, SEBI, Securities & Exchange Board of India, Stock market
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