Chapter
Adjudications and Appeals under SEBI Laws
Drafting, Pleadings and AppearancesPart II: Pleadings and Appearances (30 Marks)
14 topics
- Adjudicating Authorities
- Process including Show Cause notices, Reply, Personal Hearing
- SEBI (Procedure for Holding Inquiry and Imposing Penalties) Rules
- Penalties
- Compounding
- Consent Terms
- Settlement Proceedings
- Appeals to Securities Appellate Tribunal
- Constitution and Jurisdiction of Securities Appellate Tribunal(SAT)
- Procedure and Powers of SAT
- Procedure as per Securities Appellate Tribunal (Procedure) Rules
- Adjudication
- Appeals
- Case Studies on Settlement Proceedings, Insider Trading and Listing Obligation & Disclosure Requirements