SEBI notifications

Checklist on Right Issue of Shares to existing shareholders

SEBI - Finalize the draft letter of offer for issuing equity shares through right issue. No specific format of Letter of offer is prescribed. However letter of offer shall contain offer price, face value of shares, Mode & terms of payment and right to renounce....

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Sebi allows FPIs to invest in REITs, InvIts, AIFs & Corporate Bonds

SEBI - FPIs shall be permitted to acquire NCDs/bonds, which are under default, either fully or partly, in the repayment of principal on maturity or principal installment in the case of an amortising bond. FPIs shall be guided by RBI’s definition of an amortising bond in this regard....

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Debenture Trustees – Frequently Asked Questions (FAQs)

SEBI - A debenture is an instrument of debt executed by the company acknowledging its obligation to repay the sum at a specified rate and also carrying an interest. It is one of the methods of raising the loan capital of the company. A debenture is thus like a certificate of loan or a loan bond evidencing the fact that the company is liable to p...

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Listed Companies to Submit Revised Corporate Governance Report

SEBI - The Bombay Stock Exchange has started issuing Notices to the Listed Companies who submitted Corporate Governance Report for the Quarter ended December, 2014 in old format. Submission of Report in old format considered as non compliance. ...

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FAQs on applicability of SEBI (Research Analysts) Regulations, 2014

SEBI - Join GST Online Certification Course by GST Professionals & TaxGuru.in – Batch II Frequently Asked Questions (FAQs) on the applicability of SEBI (Research Analysts) Regulations, 2014 SEBI (Research Analysts) Regulations, 2014 (“RA Regulations”) were notified on September 01, 2014 and came into effect from December 01, 2014. The ...

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Consultation Paper on SEBI (Investment Advisers) Regulations, 2013

SEBI - Regulation 22 and other applicable provisions of IA Regulations are proposed to be amended as under: i. There shall be clear segregation between the investment advisory activities and distribution/execution services. An entity offering investment advisory services shall not be permitted to offer distribution/execution services....

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Scheme for conduct of Awareness Programs for Commodities Derivatives 2017

SEBI - This document sets contours for conduct of Commodities Derivatives Awareness Programs (CAPs) and gives guidelines to entities who may like to empanel with SEBI as Commodities Derivatives Trainers (CoTs)....

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SEBI discussion paper on Draft Code of Conduct for Index Providers

SEBI - To solicit the comments/ views from market participants on the issue of code of conduct for index providers to enhance greater level of transparency, increased disclosure requirements and to provide broad framework for Index Providers while managing/ maintaining Indices....

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SEBI Consultation Paper on streamlining process of monitoring of Offshore Derivative Instruments (ODIs)/Participatory Notes (PNs)

SEBI - SEBI has been taking steps for streamlining and tightening the conditions for issuance and reporting of ODIs by FPIs registered with SEBI. A list of the measures taken by SEBI in this regard during recent past is given as follows:-...

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Consultation paper for review of circular on Electronic book mechanism for issuance of debt securities on private placement basis

SEBI - The mandatory limit for EBP mechanism may be reduced from Rs. 500 crores to Rs. 50 crores (i.e. EBP mechanism may be mandated for all private placements of debt securities with an issue size of Rs.50 crores and above, inclusive of green shoe option, if any). Further, the issuer shall specify the amount of green shoe option upfront....

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SEBI issues Clarification to Enhanced Supervision Circular

Circular No. CIR/F10/MIRSD/MIRSD2/CIR/P/2017/64 - (22/06/2017) - SEBI vide circular no. SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 dated September 26, 2016, has issued guidelines covering broad areas for enhanced supervision based on the recommendation of the committee constituted by SEBI. ...

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Participation of Category III AIFs in commodity derivatives market

Circular No.: SEBI/HO/CDMRD/DMP/CIR/P/2017/61-SEBI - (21/06/2017) - At present, institutional participants are not allowed to participate in the commodity derivatives market in India. Consequently the commodity derivatives markets in India lack the desired liquidity and depth for efficient price discovery and price risk management....

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SEBI norms for disclosures / compliances by Municipal Securities issuers

SEBI Cicular No: CIR/IMD/DF1/60/2017 - (19/06/2017) - Regulation 23 of the SEBI (Issue and Listing of Debt Securities by Municipalities) Regulations, 2015 (SEBI ILDM Regulations) prescribe disclosures to be made by issuers making public issues of debt securities or seeking listing of debt securities issued on private placement basis to the Stock Exchan...

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Interest and Dividend reporting under Income Tax of Custodial A/cs

SEBI Circular No. CIR/HO/MIRSD/MIRSD2/CIR/P/2017/59 - (15/06/2017) - In terms of Rule 114G(1)(e)(i) of Income Tax Rules, 1962 issued under Section 285BA of Income Tax Act, 1961 following information is required to be reported by reporting financial institution in the case of reportable custodial account:-...

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Fine for non compliance with SEBI ICDR Regulations (Read Circular)

SEBI Circular No. CIR/CFD/DIL/57/2017 - (15/06/2017) - Regulations 111A and 111B of ICDR Regulations inter alia specify liability of a listed entity or any other person for contravention and actions which can be taken by the respective stock exchange and the revocation of such actions, in the manner specified by SEBI. ...

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Recent Posts in "SEBI notifications"

Consultation Paper on SEBI (Investment Advisers) Regulations, 2013

Regulation 22 and other applicable provisions of IA Regulations are proposed to be amended as under: i. There shall be clear segregation between the investment advisory activities and distribution/execution services. An entity offering investment advisory services shall not be permitted to offer distribution/execution services....

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SEBI issues Clarification to Enhanced Supervision Circular

Circular No. CIR/F10/MIRSD/MIRSD2/CIR/P/2017/64 (22/06/2017)

SEBI vide circular no. SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 dated September 26, 2016, has issued guidelines covering broad areas for enhanced supervision based on the recommendation of the committee constituted by SEBI. ...

Read More

Participation of Category III AIFs in commodity derivatives market

Circular No.: SEBI/HO/CDMRD/DMP/CIR/P/2017/61-SEBI (21/06/2017)

At present, institutional participants are not allowed to participate in the commodity derivatives market in India. Consequently the commodity derivatives markets in India lack the desired liquidity and depth for efficient price discovery and price risk management....

Read More

SEBI norms for disclosures / compliances by Municipal Securities issuers

SEBI Cicular No: CIR/IMD/DF1/60/2017 (19/06/2017)

Regulation 23 of the SEBI (Issue and Listing of Debt Securities by Municipalities) Regulations, 2015 (SEBI ILDM Regulations) prescribe disclosures to be made by issuers making public issues of debt securities or seeking listing of debt securities issued on private placement basis to the Stock Exchange(s). The said disclosures, inter-alia,...

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Interest and Dividend reporting under Income Tax of Custodial A/cs

SEBI Circular No. CIR/HO/MIRSD/MIRSD2/CIR/P/2017/59 (15/06/2017)

In terms of Rule 114G(1)(e)(i) of Income Tax Rules, 1962 issued under Section 285BA of Income Tax Act, 1961 following information is required to be reported by reporting financial institution in the case of reportable custodial account:-...

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Fine for non compliance with SEBI ICDR Regulations (Read Circular)

SEBI Circular No. CIR/CFD/DIL/57/2017 (15/06/2017)

Regulations 111A and 111B of ICDR Regulations inter alia specify liability of a listed entity or any other person for contravention and actions which can be taken by the respective stock exchange and the revocation of such actions, in the manner specified by SEBI. ...

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SEBI Circular on Recording of NDU in Depository System

Circular No. CIR/MRD/DP/56/2017 (14/06/2017)

It has been observed that some shareholders, primarily promoters, enter into non-disposal agreements/ non-disposal undertaking (NDU) for borrowing funds from various lenders. NDUs are typically undertakings given by a shareholder not to transfer or otherwise alienate the securities and are in the nature of negative lien given in favour of...

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SEBI Circular on Comprehensive Review of Margin Trading Facility

SEBI Circular No. CIR/MRD/DP/54/2017 (13/06/2017)

The Stock brokers shall be required to comply with the following conditions: i. The stocks deposited as collateral with the stock broker for availing margin trading facility (Collaterals) and the stocks purchased under the margin trading facility (Funded stocks) shall be identifiable separately and no comingling shall be permitted for the...

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Product Design for Trading in options on commodity futures

Circulars No. SEBI/HO/CDMRD/DMP/CIR/P/2017/55-SEBI (13/06/2017)

This circular is hereby being issued to stipulate necessary guidelines with regard to the product design and risk management framework to be adopted for trading in options on commodity futures....

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Guidelines for Investor Protection / Service Fund at NCDEX

Circular No. CIR/CDMRD/DEICE/CIR/P/2017/53 (13/06/2017)

SEBI Circular on Comprehensive guidelines for Investor Protection Fund, Investor Service Fund and its related matters at National Commodity Derivatives Exchanges...

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