Secure - Judgment Search Results

National Securities Depository Vs. Securities and Exchange Board of In ...

Court: SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

Reported in: (2007)74SCL821SAT

..... to any company as it may think appropriate in the interests of investors in securities and the securities market he also referred to the provisions of chapter via to urge that the ..... functions and not when it exercises administrative powers and takes policy decisions to regulate the securities market and the intermediaries or when it exercises its legislative functions while framing the regulations .....

Swadha Securities Pvt. Ltd. Vs. Securities and Exchange Board of India

Court: SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

Reported in: (2006)69SCL7SAT

..... the powers conferred upon me in terms of section 19 of sebi act 1992 read with regulation 13 4 of enquiry regulations ..... main brokers of calcutta stock exchange namely ballabh das daga swadha securities private limited and dinesh kanodia who had traded heavily in this ..... vide its order dated 21 03 2005 wherein while upholding the sebi order of suspension of certificate of registration of the appellant .....

Kasat Securities Private Ltd. Vs. Securities and Exchange Board of Ind ...

Court: SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

..... directed against the order dated january 25 2006 passed by the wholetime member of the securities and exchange board of india hereinafter called the board suspending the certificate of registration of ..... this is really a unique feature of the stock exchange where unlike other moveable properties securities are bought and sold between the unknowns through the exchange mechanism without the buyer or .....

Mithani Securities Pvt. Ltd. Vs. Securities and Exchange Board of Indi ...

Court: SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

Reported in: (2006)68SCL213SAT

..... books of accounts and other documents of m s mithani securities pvt ltd which is a registered sub broker hereinafter referred ..... penalty regulations 2002 to enquire into the violations if any of sebi stock brokers amp sub brokers regulations 1992 hereinafter referred to ..... into such agreements the sub broker was alleged to have violated sebi circular dated may 21 1997 the enquiry officer had concluded .....

Paark Securities Vs. Securities and Exchange Board of India

Court: SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

Reported in: (2006)68SCL11SAT

..... for consideration in this appeal filed under section 15t of the securities and exchange board of india act 1992 facts giving rise ..... code of conduct prescribed for brokers and sub brokers under the securities and exchange board of india stock brokers and sub brokers ..... worth for inducing another person to purchase or sell any security with the sole object of inflating depressing or causing fluctuation .....

Lkp Securities Limited and Lkp Vs. Securities and Exchange Board of In ...

Court: SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

..... for short nse and was registered as a broker with the securities and exchange board of india hereinafter called the board it ..... transferred its membership card in favour of lkp securities limited appellant no 1 after the transfer the first appellant claimed ..... in the manner provided in the regulations regulation 10 of the securities and exchange board of india stock brokers and sub brokers .....

Milan Mahendra Securities Pvt. Vs. Securities and Exchange Board of In ...

Court: SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

..... saimangal investrade ltd for short saimangal which were transferred in its demat account with national securities depository ltd nsdl evidencing the acquisition it was also alleged that this acquisition constituted ..... strenuously contended that since the shares were acquired by the appellant by way of security for advances given to the clients the same cannot be termed as acquisition within .....

Alka Securities Limited. Vs. Securities and Exchange Board of India

Court: SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

..... methods in connivance with its chartered accountant only to reduce its fee liability under the sebi stock brokers and sub brokers regulations 1992 when we were about to dictate the order ..... regarding its data turn over and that both the certificates appear the same date the securities and exchange board of india may consider whether it should bring this fact to the .....

Shilpa Shares and Securities Vs. Securities and Exchange Board of Indi ...

Court: SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

..... the liability of the appellant to pay registration fee to the securities and exchange board of india for short the board a fee ..... under challenge in this appeal filed under section 15t of the securities and exchange board of india act 1992 for short the act ..... the appellant claims that it is entitled to the benefit of securities and exchange board of india interest liability regularisation scheme 2004 we .....

Consortium Securities Pvt. Ltd. Vs. Securities and Exchange Board of I ...

Court: SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

Reported in: (2006)68SCL26SAT

..... appellant before us is a private limited company which is a registered broker with the securities and exchange board of india for short the board it is trading for its clients .....