K.P. Singh

SAT-appeal

• SEBI alleged that the appellants violated the SEBI Act and regulations framed thereunder; the specific conduct and charges are not stated in this order.
  Appeals and Intervention Application disposed of without deciding merits. · Appeals and Intervention Application shall automatically revive once the Supreme Court disposes of SEBI's civil appeals against SAT's majority decision dated 13 March 2015.
  Appeal: Appeal Nos. 193-199, 206, 208, 209, 217, 225 and 226 of 2015 disposed of on 25 April 2018; SEBI's Civil Appeals before the Supreme Court against SAT's majority decision dated 13 March 2015 were stated to be pending.
• The AO imposed varying penalties for alleged violations of the SEBI Act and regulations; the underlying alleged violations were rejected by the SAT majority in its decision dated 13 March 2015.
  Appeals and Miscellaneous Application No. 187 of 2016 disposed of without deciding merits · Appeals and Intervention Application shall automatically revive after the Supreme Court disposes of SEBI's civil appeals against the SAT decision dated 13 March 2015
  Appeal: Appeal Nos. 193, 194, 195, 196, 197, 198, 199, 206, 208, 209, 217, 225 and 226 of 2015 disposed of on 25 April 2018; SEBI's civil appeals against the SAT majority decision dated 13 March 2015 were pending before the Supreme Court.
• The appellants were alleged to have violated the SEBI Act and regulations framed thereunder. The underlying alleged violations are not specified in this order.
  Appeals and Miscellaneous Application No. 187 of 2016 disposed of without deciding merits. · Appeals and intervention application shall automatically revive once the Supreme Court disposes of SEBI's civil appeals against SAT's majority decision dated 13 March 2015.
  Appeal: Appeal Nos. 193-199, 206, 208, 209, 217, 225 and 226 of 2015 disposed of on 25 April 2018, subject to automatic revival after disposal of SEBI's pending Civil Appeals before the Supreme Court.
• Alleged violation of SEBI Act and regulations framed thereunder per AO orders, on same facts as WTM 10 Oct 2014 directions
  Dispose of Appeals Nos. 193-199, 206, 208-209, 217, 225-226 of 2015 and Misc. Application 187 of 2016 without going into merits · Appeals and Intervention Application shall stand automatically revived once Apex Court disposes SEBI Civil Appeals
  Appeal: SAT Appeals Nos. 193-199, 206, 208-209, 217, 225-226 of 2015 disposed on 25.04.2018; SEBI Civil Appeals against SAT 13.03.2015 decision pending before Supreme Court
• Alleged violation of SEBI Act and regulations as held by AO imposing varying penalties, on same facts as WTM order dated 10.10.2014; specifics not detailed in this order.
  Appeals and Misc. Application No. 187 of 2016 disposed without going into merits · Appeals and Intervention Application shall stand automatically revived once Apex Court disposes SEBI Civil Appeals against SAT decision dated 13.03.2015
  Appeal: SEBI Civil Appeals against SAT majority decision dated 13.03.2015 pending before Supreme Court; SAT appeals disposed with automatic revival on Supreme Court disposal
• Violation of SEBI Act and regulations framed thereunder as held in WTM order dated 10.10.2014, same set of facts forming basis for AO penalty orders.
  Appeals and Intervention Application disposed without going into merits · Appeals and Intervention Application shall stand automatically revived once Apex Court disposes Civil Appeals against SAT decision dated 13.03.2015
  Appeal: Appeal Nos. 193-199, 206, 208, 209, 217, 225, 226 of 2015 disposed on 25.04.2018; Civil Appeals filed by SEBI against SAT majority decision dated 13.03.2015 pending before Supreme Court
• Alleged violation of SEBI Act and regulations framed thereunder on same facts as WTM order dated 10.10.2014.
  All appeals and Misc. Application No.187 of 2016 disposed without going into merits · Appeals and intervention shall stand automatically revived after Apex Court decides SEBI civil appeals
  Appeal: SEBI civil appeals against SAT majority decision dated 13.03.2015 pending before Supreme Court; present appeals to revive after disposal
• Alleged violation of SEBI Act and regulations framed thereunder on same set of facts as WTM order dated 10 Oct 2014 against DLF group; specifics not detailed in present order.
  Appeals No. 193-199, 206, 208, 209, 217, 225, 226 of 2015 and Misc. Application No. 187 of 2016 disposed of without going into merits · Appeals and Intervention Application shall stand automatically revived once Apex Court disposes Civil Appeals against Tribunal decision 13 Mar 2015
  Appeal: Civil Appeals filed by SEBI against SAT majority decision dated 13 March 2015 pending before Apex Court (numbers not stated in order)
• Alleged violation of SEBI Act and regulations on same facts as WTM order dated 10.10.2014 against DLF group entities and individuals.
  Appeals and Intervention Application disposed without going into merits · Appeals and Intervention Application shall stand automatically revived once Apex Court disposes Civil Appeals against SAT decision dated 13.03.2015
  Appeal: Civil Appeals filed by SEBI against SAT majority decision dated 13.03.2015 pending before Supreme Court; numbers and dates not stated
• Alleged violation of SEBI Act and regulations framed thereunder on same set of facts as WTM order dated 10.10.2014
  All appeals and Intervention Application disposed without going into merits · Appeals and Intervention Application shall stand automatically revived once Apex Court disposes Civil Appeals against SAT decision dated 13.03.2015
  Appeal: Civil Appeals filed by SEBI against SAT majority decision dated 13.03.2015 pending before Apex Court
• Alleged violation of SEBI Act and regulations framed thereunder on same facts as WTM order dated 10.10.2014.
  Appeals and Intervention Application disposed without going into merits · Appeals and Intervention Application shall stand automatically revived on Apex Court disposal of SEBI civil appeals
  Appeal: Appeal Nos 193-199, 206, 208-209, 217, 225-226 of 2015 disposed on 25.04.2018 with auto-revival; SEBI civil appeals against SAT majority decision 13.03.2015 pending before Supreme Court
• Alleged violation of SEBI Act and regulations on same facts as WTM order dated 10.10.2014, leading to varying AO penalties.
  All appeals and Misc. Application No. 187 of 2016 disposed without going into merits · Appeals and Intervention Application to stand automatically revived on Supreme Court disposal of SEBI Civil Appeals
  Appeal: SEBI Civil Appeals against SAT majority decision dated 13.03.2015 pending before Supreme Court; SAT disposed present appeals on 25.04.2018 with automatic revival on SC disposal