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Compliances Penalties Opportunities  Securities Laws & Pavan Kumar Vijay
Laws Regulating Capital Markets Companies Act, 1956 SCR Act, 1956 SEBI Act, 1992 Public Ltd  Co’s Stock Exchanges  Intermediaries Listed Co’s Listed Co’s  Self Regulatory Org  Depositories Act 1996 NSDL CDSL DP’s/ RTA Listed Co’s
[object Object],[object Object],[object Object],[object Object],[object Object],Types of enforcement actions taken by SEBI
Powers & Functions of SEBI  11 General Powers   ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Powers & Functions of SEBI  11 General Powers   Contd.. ,[object Object],[object Object],[object Object],[object Object],[object Object]
[object Object],[object Object],Powers & Functions of SEBI
Powers & Functions of SEBI  11 A Relating to Issue of Securities   ,[object Object],[object Object],[object Object],[object Object],[object Object]
Powers & Functions of SEBI  To Issue Directions   ,[object Object],[object Object],[object Object],[object Object],11 B
[object Object],[object Object],[object Object],Powers & Functions of SEBI  To Issue Directions Contd. 11 B
Case Law – 11A, 11B ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Case Law – 11B ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Case Law – 11B ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Case Law – 11B ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Powers & Functions of SEBI  To Investigate   ,[object Object],[object Object],[object Object],[object Object],11 C
Powers & Functions of SEBI  To Cease and Desist the Proceedings   ,[object Object],[object Object],[object Object],11 D
Powers & Functions of SEBI  Adjudication Powers   ,[object Object],[object Object],[object Object],[object Object],15 I
Case Law – 15 I ,[object Object],[object Object],[object Object]
Case Law – 15 I ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Powers & Functions of SEBI  15 J Factors to be taken care by Adjudication Officer   ,[object Object],[object Object],[object Object],[object Object]
Case law – 15J ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
[object Object],[object Object],[object Object],[object Object],[object Object],Enforcement actions by SEBI becomes necessary in cases of:
15 A Penalities under SEBI Act, 1992 Listed Companies /  Intermediaries  /  Any other person Applicability To  maintain books of account  or records File any return or furnish any  information, books or other documents  within the time specified therefore in the regulations Penalty of  Rs.1 Lakh Per Day  during which such failure continues  or Rs. 1 Crore,  whichever is less Failure to furnish any  document, return or report  to the Board Penalty Contravention
Case law – 15A ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Case Law – 15A ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
15 B Penalities under SEBI Act, 1992 Intermediaries Applicability Penalty of  Rs.1 lakh per day  during which such failure continues or  Rs. 1 crore, whichever is less Failure to enter into an agreement with his client  Penalty Contravention
15 C Penalities under SEBI Act, 1992 Listed Company / Intermediaries Applicability Penalty of  Rs.1 lakh per day  during which such failure continues or  Rs. 1 crore, whichever is less Failure to redress the grievances of investors , after having been called upon by the Board in writing to redress the grievances of investors. Penalty Contravention
Case Law – 15C ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Case Law – 15C ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
15 D Penalities under SEBI Act, 1992 Mutual Funds / Collective Investment Scheme (CIS) Applicability Penalty of  Rs.1 lakh per day  during which such failure continues or  Rs. 1 crore, whichever is less Doing such activity  without  obtaining  certificate of  registration ,  OR   fails to comply the conditions  specified in the governing regulations Penalty Contravention
15 E Penalities under SEBI Act, 1992 Asset Management Company Applicability Penalty of  Rs.1 lakh per day  during which such failure continues or  Rs. 1 crore, whichever is less Fails to comply  with any of the  regulations  providing for restrictions on the activities of the asset management companies Penalty Contravention
15 F Penalities under SEBI Act, 1992 Stock Broker Applicability Penalty of  Rs. 1 Lakh  or  5 times  the amount of brokerage excess charged,  whichever is higher. Charges excess brokerage Penalty of Rs.  1 lakh per day  during which such failure continues  or Rs. 1 crore  ,  whichever is less Fails to deliver any security  Penalty not exceeding 5 times the amount of  contract note  . Fails to issue contract notes  Penalty Contravention
15 G Penalities under SEBI Act, 1992 Any Insider Applicability Penalty of  Rs. 25 crore  or  3 times the amount of profits made  out of such insider trading,  whichever is higher.  Contravention of provisions of  Insider Trading Regulations Penalty Contravention
Case Law – 15G ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
15 H Penalities under SEBI Act, 1992 Any Acquirer / Person Acting in Concert (PAC) Applicability Penalty of  Rs. 25 crore  or  3 times the amount of profits made  out of such failure,  whichever is higher.  Contravention of provisions of  Takeover Code Regulations Penalty Contravention
Case Law – 15H ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Case Law – 15H ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Case Law – 15H ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Case Law – 15H ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
15 HA Penalities under SEBI Act, 1992 Listed Companies / Intermediaries / Any Other Person Applicability Penalty of  Rs. 25 crore  or  3 times the amount of profits made  out of such practices,  whichever is higher.  Indulgence in any  Fraudulent and Unfair Trade Practices.   Penalty Contravention
15 HB Penalities under SEBI Act, 1992 Listed Companies / Intermediaries / Any Other Person Applicability penalty which may be extend to  Rs. 1 Crore  Contravention of  any  of the provision of the Act  where no specific penalty  is specified Penalty Contravention
Recommendations by Kania Committee ,[object Object]
23 Penalities under SCR Act, 1956 Listed Companies / Intermediaries / Stock Exchanges Any Other Person Applicability Imprisonment up to 10 years   OR  Fine up to Rs. 25 crore  OR  Both   ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Penalty Contravention
23 A Penalities under SCR Act, 1956 Any Person Applicability (b) Failure by any person to  maintain books of accounts  or records as per listing agreement or conditions.   Rs.  1 lakh for each day  during which such failure continues  OR  Rs. 1 crore  Whichever is LESS   (a) Failure by any person to  furnish any information, document, books, returns or report to a stock exchange  within specified time   Penalty Contravention
23 C Penalities under SCR Act, 1956 Broker/ Listed Company/Proposed Listed Co. Applicability Rs.  1 lakh for each day  during which such failure continues  OR  Rs. 1 crore  Whichever is LESS  Failure to  redress the grievances of investors  after having been called upon by SEBI to do so   Penalty Contravention
23 E Penalities under SCR Act, 1956 Listed Company/Collective Investment Scheme/ Mutual Funds Applicability Penalty not exceeding Rs. 25 crore   Failure by a company or any person managing collective investment scheme or mutual fund to comply with  Listing / Delisting Conditions   Penalty Contravention
23 F Penalities under SCR Act, 1956 Any Person Applicability Penalty not exceeding Rs. 25 crore   Any person dematerialized securities more than the issued securities  OR  delivers unlisted securities in the exchange   Penalty Contravention
23 G Penalities under SCR Act, 1956 Stock Exchange Applicability Penalty not exceeding Rs. 25 crore   Failure  or  neglect  by an exchange to furnish periodical returns to SEBI  OR  make or amend  its rules/byelaws as directed by SEBI  OR  comply  with directions of SEBI   Penalty Contravention
19 A Penalities under Depositories Act, 1996 Any Person Applicability Rs.  1 lakh for each day  during which such failure continues  OR  Rs. 1crore,   whichever is LESS   a). Failure to furnish any information, document, books, returns or report  to SEBI  b). Failure to file any return or furnish any information, books or  other documents  under the Act  c). Failure to  maintain books of accounts or records  Penalty Contravention
19 G Penalities under Depositories Act, 1996 Any Person Applicability Penalty not  exceeding Rs. 1 crore   Failure to  comply with any provision  of the Act, the rules or regulations or byelaws made or directions issued by SEBI there under for which no separate penalty has been provided   Penalty Contravention
Kania Committee recommendations ,[object Object],[object Object],[object Object],[object Object],[object Object]
Prosecution under SEBI SCRA & DP Act. ,[object Object],[object Object],[object Object]
24 Offences under SEBI Act, 1992 Offences for which prosecution can be launched ,[object Object],[object Object],[object Object],Failure to pay the penalty  OR Failure to comply with any directions  ,[object Object],[object Object],[object Object],Non Compliance  of  any  of the  provision  of the Act, rules or regulations made hereunder. Punishment Offence
Kania Committee recommendations ,[object Object]
23 M Offences under SCR Act, 1992 Offences for which prosecution can be launched ,[object Object],[object Object],[object Object],Failure to pay the penalty  OR Failure to comply with any directions  ,[object Object],[object Object],[object Object],-  Non Compliance  of  any  of the  provision  of the Act - Non-Compliance of any of the provision for which no punishment is provided elsewhere in this Act. Punishment Offence
20 Offences under DP Act, 1996 Offences for which prosecution can be launched Imprisonment up to 10 years (not less than one month)  OR  fine up to Rs. 25 crore  OR BOTH   Failure to  pay the penalty  imposed by adjudicating officer or to comply with any of his directions or orders   Imprisonment up to 10 years  OR Fine up to Rs. 25 crore  OR BOTH   Contravenes or attempts to contravene or abets the  contravention of the provisions of the Act  or of any rules or regulations or byelaws made there under   Punishment Offence
27 Offences by Companies under SEBI, SCRA, DP Act ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Holding Enquiry & Imposing Penality Holding inquiry for any contravention by intermediaries  ,[object Object],[object Object],[object Object]
Holding Enquiry & Imposing Penality Contravention  Noticed  Exparte decision If no response  SCN to Party Party to file  Reply Appointment of  Enquiry Officer Notice Issued Reply within  15 days Hearing Date  Fixed Enquiry Report  by EO Representation  Before EO Order by  Chairman Impose Minor or  Major Penalty  For contravention of the provision  of regulations mentioned in Reg 4
Types of Penality Minor Penalties ,[object Object],[object Object],[object Object],[object Object],[object Object]
Comparison Between  Enquiry Officer  &  Adjudicating Officer
Points of Difference  ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Types of Penality Major Penalties ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Types of Penality Major Penalties ONLY to be imposed where:  ,[object Object],[object Object],[object Object],[object Object],[object Object]
Appeals To Securities Appellate Tribunal (SAT)  Appeals can be made in following cases:   ,[object Object],[object Object],[object Object],[object Object],[object Object]
Appeals To Securities Appellate Tribunal (SAT)  Time limit for filing appeal:   ,[object Object],[object Object],[object Object]
Appeals To Securities Appellate Tribunal (SAT)  Appearance before SAT   ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Appeals To Securities Appellate Tribunal (SAT)  Bar of Jurisdiction of Civil Courts:   ,[object Object],[object Object],[object Object],[object Object]
Appeals To Securities Appellate Tribunal (SAT)  Appeal to Supreme Court:   ,[object Object],[object Object]
Composition of Offences ,[object Object],[object Object],[object Object],[object Object],[object Object],24 A
Kania Committee recommendations ,[object Object],[object Object],[object Object]
Power to Grant Immunity  Special Powers to grant immunity   from Penalty  ,[object Object],[object Object],[object Object],[object Object],[object Object],24 B
Recent Judgements  ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
[object Object],[object Object],Recommendations of Kania Committee
Recent Case laws ,[object Object],[object Object]
Recent Case laws contd. ,[object Object],[object Object]
Recent Case laws contd. ,[object Object],[object Object]
Recent Case laws contd. ,[object Object],[object Object]
Recent Case laws contd. ,[object Object],[object Object],[object Object],[object Object],[object Object]
Recent Case laws contd. ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Recent Case laws contd. ,[object Object],[object Object],[object Object],[object Object],[object Object]
Development  in the securities laws  has bought up  new avenues  for the professionals
Opportunities in securities laws  for Professionals
[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Opportunities
[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Opportunities contd.
[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Opportunities contd.
[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Opportunities contd.
[object Object],[object Object],[object Object],[object Object],Opportunities contd.
[object Object]
[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],All you need to do is:
[object Object]
[object Object]
[object Object]
Thanks www.corporateprofessionals.com

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Sebi Compliances and Penalties

  • 1. Compliances Penalties Opportunities Securities Laws & Pavan Kumar Vijay
  • 2. Laws Regulating Capital Markets Companies Act, 1956 SCR Act, 1956 SEBI Act, 1992 Public Ltd Co’s Stock Exchanges Intermediaries Listed Co’s Listed Co’s Self Regulatory Org Depositories Act 1996 NSDL CDSL DP’s/ RTA Listed Co’s
  • 3.
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  • 19.
  • 20.
  • 21.
  • 22. 15 A Penalities under SEBI Act, 1992 Listed Companies / Intermediaries / Any other person Applicability To maintain books of account or records File any return or furnish any information, books or other documents within the time specified therefore in the regulations Penalty of Rs.1 Lakh Per Day during which such failure continues or Rs. 1 Crore, whichever is less Failure to furnish any document, return or report to the Board Penalty Contravention
  • 23.
  • 24.
  • 25. 15 B Penalities under SEBI Act, 1992 Intermediaries Applicability Penalty of Rs.1 lakh per day during which such failure continues or Rs. 1 crore, whichever is less Failure to enter into an agreement with his client Penalty Contravention
  • 26. 15 C Penalities under SEBI Act, 1992 Listed Company / Intermediaries Applicability Penalty of Rs.1 lakh per day during which such failure continues or Rs. 1 crore, whichever is less Failure to redress the grievances of investors , after having been called upon by the Board in writing to redress the grievances of investors. Penalty Contravention
  • 27.
  • 28.
  • 29. 15 D Penalities under SEBI Act, 1992 Mutual Funds / Collective Investment Scheme (CIS) Applicability Penalty of Rs.1 lakh per day during which such failure continues or Rs. 1 crore, whichever is less Doing such activity without obtaining certificate of registration , OR fails to comply the conditions specified in the governing regulations Penalty Contravention
  • 30. 15 E Penalities under SEBI Act, 1992 Asset Management Company Applicability Penalty of Rs.1 lakh per day during which such failure continues or Rs. 1 crore, whichever is less Fails to comply with any of the regulations providing for restrictions on the activities of the asset management companies Penalty Contravention
  • 31. 15 F Penalities under SEBI Act, 1992 Stock Broker Applicability Penalty of Rs. 1 Lakh or 5 times the amount of brokerage excess charged, whichever is higher. Charges excess brokerage Penalty of Rs. 1 lakh per day during which such failure continues or Rs. 1 crore , whichever is less Fails to deliver any security Penalty not exceeding 5 times the amount of contract note . Fails to issue contract notes Penalty Contravention
  • 32. 15 G Penalities under SEBI Act, 1992 Any Insider Applicability Penalty of Rs. 25 crore or 3 times the amount of profits made out of such insider trading, whichever is higher. Contravention of provisions of Insider Trading Regulations Penalty Contravention
  • 33.
  • 34. 15 H Penalities under SEBI Act, 1992 Any Acquirer / Person Acting in Concert (PAC) Applicability Penalty of Rs. 25 crore or 3 times the amount of profits made out of such failure, whichever is higher. Contravention of provisions of Takeover Code Regulations Penalty Contravention
  • 35.
  • 36.
  • 37.
  • 38.
  • 39. 15 HA Penalities under SEBI Act, 1992 Listed Companies / Intermediaries / Any Other Person Applicability Penalty of Rs. 25 crore or 3 times the amount of profits made out of such practices, whichever is higher. Indulgence in any Fraudulent and Unfair Trade Practices. Penalty Contravention
  • 40. 15 HB Penalities under SEBI Act, 1992 Listed Companies / Intermediaries / Any Other Person Applicability penalty which may be extend to Rs. 1 Crore Contravention of any of the provision of the Act where no specific penalty is specified Penalty Contravention
  • 41.
  • 42.
  • 43. 23 A Penalities under SCR Act, 1956 Any Person Applicability (b) Failure by any person to maintain books of accounts or records as per listing agreement or conditions. Rs. 1 lakh for each day during which such failure continues OR Rs. 1 crore Whichever is LESS (a) Failure by any person to furnish any information, document, books, returns or report to a stock exchange within specified time Penalty Contravention
  • 44. 23 C Penalities under SCR Act, 1956 Broker/ Listed Company/Proposed Listed Co. Applicability Rs. 1 lakh for each day during which such failure continues OR Rs. 1 crore Whichever is LESS Failure to redress the grievances of investors after having been called upon by SEBI to do so Penalty Contravention
  • 45. 23 E Penalities under SCR Act, 1956 Listed Company/Collective Investment Scheme/ Mutual Funds Applicability Penalty not exceeding Rs. 25 crore Failure by a company or any person managing collective investment scheme or mutual fund to comply with Listing / Delisting Conditions Penalty Contravention
  • 46. 23 F Penalities under SCR Act, 1956 Any Person Applicability Penalty not exceeding Rs. 25 crore Any person dematerialized securities more than the issued securities OR delivers unlisted securities in the exchange Penalty Contravention
  • 47. 23 G Penalities under SCR Act, 1956 Stock Exchange Applicability Penalty not exceeding Rs. 25 crore Failure or neglect by an exchange to furnish periodical returns to SEBI OR make or amend its rules/byelaws as directed by SEBI OR comply with directions of SEBI Penalty Contravention
  • 48. 19 A Penalities under Depositories Act, 1996 Any Person Applicability Rs. 1 lakh for each day during which such failure continues OR Rs. 1crore, whichever is LESS a). Failure to furnish any information, document, books, returns or report to SEBI b). Failure to file any return or furnish any information, books or other documents under the Act c). Failure to maintain books of accounts or records Penalty Contravention
  • 49. 19 G Penalities under Depositories Act, 1996 Any Person Applicability Penalty not exceeding Rs. 1 crore Failure to comply with any provision of the Act, the rules or regulations or byelaws made or directions issued by SEBI there under for which no separate penalty has been provided Penalty Contravention
  • 50.
  • 51.
  • 52.
  • 53.
  • 54.
  • 55. 20 Offences under DP Act, 1996 Offences for which prosecution can be launched Imprisonment up to 10 years (not less than one month) OR fine up to Rs. 25 crore OR BOTH Failure to pay the penalty imposed by adjudicating officer or to comply with any of his directions or orders Imprisonment up to 10 years OR Fine up to Rs. 25 crore OR BOTH Contravenes or attempts to contravene or abets the contravention of the provisions of the Act or of any rules or regulations or byelaws made there under Punishment Offence
  • 56.
  • 57.
  • 58. Holding Enquiry & Imposing Penality Contravention Noticed Exparte decision If no response SCN to Party Party to file Reply Appointment of Enquiry Officer Notice Issued Reply within 15 days Hearing Date Fixed Enquiry Report by EO Representation Before EO Order by Chairman Impose Minor or Major Penalty For contravention of the provision of regulations mentioned in Reg 4
  • 59.
  • 60. Comparison Between Enquiry Officer & Adjudicating Officer
  • 61.
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  • 77.
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  • 80.
  • 81. Development in the securities laws has bought up new avenues for the professionals
  • 82. Opportunities in securities laws for Professionals
  • 83.
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Editor's Notes

  1. Thus ensuring highest level of Integrity Independence Excellence and Innovation
  2. Thus ensuring highest level of Integrity Independence Excellence and Innovation
  3. Thank You