Securities Fraud amp SEBI’s Power by Somasekhar Sundaresan

>> YOUR LINK HERE: ___ http://youtube.com/watch?v=XhzvVOjl-tg

Securities fraud [also known as stock fraud or investment fraud] is becoming increasingly common in India. By this act, an investor is encouraged to make certain sale decisions based on false information, which often results in a loss to him. This misinformation and manipulation of a financial market are normally done by an independent person such as a stockbroker, or brokerage firms, or investment banks. Often, securities fraud takes place behind the scenes of Ponzi schemes, pyramid schemes, or insider trading. In this webinar, the Speaker discusses how SEBI, as a regulatory body, using its executive legislature and judicial powers, responds to and deals with evolving challenges, specifically through regulatory guidance and legislative powers under the Securities Contracts (Regulation) Act, 1956 (SCRA) and the SEBI Act, 1992 (SEBI Act), Depositories Act, 1996, SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018, SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, SEBI (Prohibition of Insider Trading) Regulations, 2015, etc allowing it to mete out a wide range of penalties, both monetary and substantive. • Disclaimer • The information provided in the video is for informational purposes only and are not intended to serve as a substitute for consultation with a lawyer. Specific legal issues, concerns and conditions always require the advice of appropriate legal professionals. Every effort has been made to avoid errors in this video. Any mistake, error or discrepancy noted by the netizens may be brought to the notice of the team along with evidence of it being incorrect. • 00:00 Introduction • 06:05 Security regulation and different legislation 19:45-26:26 - Procedure • 26:29 Auditing • 35:22 Regulation u/s 3 4 • 45:25 Standard of Proof • 50:59 Tools of enforcement • 58:58 Penalty and proceedings under chapter 6(8) • 1:04:23 Q A

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