Chapter 1 Background to Securities Frauds, Chapter 2 Common Law Fraud, Chapter 3 Statutory fraud under FUTP Regulations and Companies Act, 2013,Chapter 4 Miss-selling and Unsuitability, Chapter 5 Manipulation of Securities, Chapter 6 Primary Market Regulations on Fraud and Misstatements,Chapte 7 Insider Trading,Chapter 8Powers of SEBI, Enforcement and Remedies
(Appendices) Acts – Securities and Exchange Board of India Act, 1992 [15 of 1992]
Rules –Securities and Exchange Board of India (Procedure for Holding Inquiry and Imposing Penalties by Adjudicating Officer) Rules, 1995.
Regulations – Securities and Exchange Board of India (Prohibition of Fraudulent and
Unfair Trade Practices Relating to Securities Market) Regulations, 2003,Securities and Exchange Board of India ([Prohibition of] Insider Trading) Regulations, 2015,Securities and Exchange Board of India (Investor Protection and Education Fund)Securities and Exchange Board of India (Investor Protection and Education Fund) Regulations, 2009,Securities and Exchange Board of India (Stock-Brokers and Sub-Brokers) Regulations, 1992,Securities and Exchange Board of India (Intermediaries) Regulations, 2008,Securities and Exchange Board of India (Settlement of Administrative and Civil Proceedings)Regulations, 2014,General Order,Securities and Exchange Board of India (Prohibition on Raising Further Capital from Public and Transfer of Securities of Suspended Companies) Order, 2015.
About the Author
Sandeep Parekh is the managing partner of Finsec Law Advisors, a financial sector law firm based in Mumbai. He worked as an executive director at the Securities and Exchange Board of India, India’s securities regulator, where he headed the Legal Affairs and Enforcement departments and has been a faculty at the Indian Institute of Management, Ahmedabad. He has worked for law firms in Delhi, Mumbai and Washington, D.C. Sandeep focuses on securities regulations, investment regulations, private equity, corporate governance and financial regulations. He is admitted to practice law in New York. He is a World Economic Forum “Young Global Leader” and has spoken at Davos. He has published op-eds in the Financial Times and the Economic Times.
Sandeep has been a member of the Cabinet Secretariat task force for measuring performance in ministries and departments of the Government of India. He is a former chairman and member of various SEBI and RBI Committees and Sub-committees and is a member of Securities Committee of International Law Association, London and CII’s National Council on Financial Sector.