Category Archives: Securities And Investment Law

Securities Appellate Tribunal (SAT): Appeals and Limitation

Securities Appellate Tribunal (SAT): Appeals and Limitation | Overview Introduction – Appeal to Securities Appellate Tribunal Order Orders Under SEBI (Employee Service) Regulations Person Aggrieved Consent Mechanism Limitation Period Opportunity of Hearing Service of Orders Expeditious Disposal The orders that were passed by the whole time board of SEBI were also appealed before Securities Appellate Tribunal by virtue… Read More »

Laws relating to NBFCs in India

Laws relating to NBFCs in India | Overview Prudential Norms relating to NBFCs There are various compliances that are required to be made under the Directions are Anti-Money Laundering Standards Know Your Customer Guidelines Fair Practices Code Reporting of Frauds Application of Legislation All non-banking financial companies – NBFCs are those companies that got their registration done under… Read More »

Debenture: Meaning, Features and Kinds

Debenture: Meaning, Features and Kinds | Overview USUAL FEATURES KINDS OF DEBENTURES Redeemable Convertible Perpetual Debentures to the registered holder and bearer This article discusses the meaning, features and kinds of Debentures. A single section i.e. Section 71 is used by the legislature to cover all the topics related to debenture in the Companies Act, 2013. Companies are… Read More »

Doctrine of Identification

The evolution of the doctrine of identification can be traced from the English Law. The developments in this doctrine have proved beneficial for implying as well as prosecuting all the criminal conducts of managers, officers and directors of the companies. The personality of the owners, directors or promoters of the company is totally different from that of the… Read More »

Charges: Meaning, Kinds and Registration

Charges: Meaning, Kinds and Registration | Overview FLOATING CHARGE CHARACTERISTICS OF FLOATING CHARGES FIXED CHARGE REGISTRATION OF CHARGES This article discusses the charges. A single section i.e. Section 71 is used by the legislature to cover all the topics related to debentures in the Companies Act, 2013. Companies are required to borrow a huge amount of money very… Read More »

Doctrine of Attribution

This article discusses the Doctrine of Attribution. One of the things that are gaining importance in the field of criminal law is the question of putting liability over the officers, managers, directors and other employees of the organisation whenever there is some wrong done in the organisation during the ordinary course of business. This question has become the… Read More »

Issue of Prospectus by the Company

Issue of Prospectus by the Company | Overview Application Forms Public Offer and Private Placement Documents Containing Offer for Securities of Sale, Deemed Prospectus Shelf Prospectus Information Memorandum Red Herring Prospectus Draft Red Herring Prospectus Placement Without Prospectus  Whenever a public company is willing to invite the applications for its debentures or shares, it is a mandate for… Read More »

Securities Contract Regulation Act: Salient Features

Securities Contract Regulation Act: Salient Features | Overview Meaning of Securities Major Provisions Recognition of Stock Exchange Salient Features of the Act This article discusses the securities contract regulation Act: salient features. The Parliament introduced another legislation for the regulation of the affairs in relation to the securities market of India. This legislation is known as the Securities… Read More »

Study of Penalties And Procedures For Adjudication

Study of Penalties And Procedures For Adjudication | Overview Introduction  to Adjudication Penalty for Failure to Furnish Information, Return Etc Penalty for Failure to  Redress Investor’s Grievances Penalty for Insider Trading Penalty for Contravention Where No Separate Penalty Has Been Provided Power to Adjudicate Introduction  to Adjudication This article discusses the penalties and procedures for adjudication. The provisions… Read More »

Dividends- Meaning and Its Types

Dividends- Meaning and Its Types | Overview Basics of a Dividend Dividend Paying Companies Types of Dividend Impact of Dividends on Share Price This article discusses the meaning and types of dividends. A reward that is distributed from the amount accumulated by virtue of the earnings of the company is termed as the dividend. This reward is distributed… Read More »