investor protection

In terms of the provisions of Securities and Exchange Board of India Act, 1992, read with the provisions of the SEBI (Mutual Funds) Regulations, 1996, SEBI has issued various guidelines/circular s from time to time for compliance by Mutual Funds and AMCs, the first such circular being issued in 1993. Full Article

As per the Listing Agreement with the Stock Exchanges, the issuer company deposits 1% of the issue amount of the securities offered to the public and/or to the holders of the existing securities of the company, as the case may be, with the designated stock exchange. This amount was being released to issuer companies after obtaining a No Objection Certificate (NOC) from SEBI in accordance with the SEBI (Disclosure and Investor Protection) Guidelines, 2000. Since these Gui.. Full Article

A comparison between Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2009 vis-à-vis the SEBI (Disclosure and Investor Protection) Guidelines, 2000 The Securities and Exchange Board of India is turning a stricter eye on company promoters who have been issued preferential warrants, saying that they will have to forfeit the upfront payment [...] Full Article

The Securities and Exchange Board of India is turning a stricter eye on company promoters who have been issued preferential warrants, saying that they will have to forfeit the upfront payment made on unexercised warrants.This is contained in its recently notified Issue of Capital and Disclosure Requirements (ICDR) Regulations 2009, which SEBI made public on [...] Full Article

Amendments to the SEBI (Disclosure and Investor Protection) Guidelines, 2000 – Amendment to Chapter VIA concerning general and disclosure requirements pertaining to IDR issues Circular No. SEBI/CFD/DIL/ DIP/37/2009/ 31/07, dated 31-7-2009 1. In order to align the disclosure requirements pertaining to issuance of Indian Depository Receipts (IDRs) with the recent amendments made to the Companies [...] Full Article

A.P. (DIR Series) Circular No. 05, dated 22-7-2009 Attention of Authorised Dealer Category-I (AD Category-I) banks is invited to Companies (Issue of Indian Depository Receipts) Rules, 2004 (IDR Rules) notified by the Ministry of Corporate Affairs and subsequent amendments made thereto and Circular No. SEBI / CFD / DIL / DIP / 20 /2006 / [...] Full Article

SEBI/CFD/DIL/DIP/36/2009/09/07    Dated: July 9, 2009 1. In exercise of the powers conferred under sub-section (1) of Section 11 of the Securities and Exchange Board of India Act, 1992, SEBI has amended the SEBI (Disclosure and Investor Protection) Guidelines, 2000 (hereinafter referred to as “the SEBI (DIP) Guidelines”).The full text of amendments is given in Annexure [...] Full Article

Notification of SEBI (Investor Protection and Education Fund) Regulations, 2009 SEBI has notified the SEBI (Investor Protection and Education Fund) Regulations, 2009, on May 19, 2009, with a view to strengthening its activities for investor protection.  The salient features of these regulations are as follows:  The Fund shall be used for the protection of investors and promotion [...] Full Article