In this Quick referencer Author has has made an effort to summaries all the Circulars issued by SEBI from 01st January 2011 to 10th August 2011.Link to Download the Quick Referencer is given at the bottom of the post. Author has covered circulars on following topics in this compilation.
1. Modifications to Client Code Post Trade Execution
2. Introduction of Derivative Contracts on Foreign Stock Indices
3. Reporting of Offshore Derivative Instruments (Odis)/ Participatory Notes (PNS) Activity
4. Establishment of Connectivity with both Depositories NSDL and CDSL
5. Companies Eligible for Shifting From Trade for Trade Settlement (TFTS) to Normal Rolling Settlement
6. Arbitration Mechanism of Stock Exchanges – Applicability of the Provisions of the Limitation Act, 1963
7. Futures on 91-Day Government of India Treasury-Bill (T–Bill)
8. Allocation of Government Debt Long Term & Corporate Debt – Old Investment limits to FIIs
9. Usage of Load Account
10. Listing Agreement for Securitized Debt Instruments
11. Unauthenticated News Circulated By SEBI Registered Market Intermediaries through Various Modes of Communication
12. Dissemination of Further Information about FII Activity – Discontinuance of Reporting
13. FII Investment in Corporate Bonds Infra Long Term Category Limitation Period for Filing an Arbitration Reference
14. Limitation Period for Filing an Arbitration Reference
15. Review of Annual Issuers’ Charges
16. Applications Supported By Blocked Amount (ASBA) Facility
17. Clarification on Circular Dated December 3, 2009 on ‘Dealings between a client and a Stock Broker
18. Self Clearing Member in the Currency Derivatives Segment
19. Adjustment of Differential Pricing Amount at the Time of Application for Allotment of Specified Securities
20. Option to Hold Units in Demat Form
21. Liquidity Enhancement Schemes for Illiquid Securities in Equity Derivatives Segment
22. Periodical Report – Grant of Prior Approval to Members of Stock Exchanges/ Sub-Brokers
23. Processing of Investor Complaints against Listed Companies in SEBI
24. Complaints Redress System (Scores)
25. Redemption of Indian Depository Receipts (IDRs) Into Underlying Equity Shares
26. Pre- Funded Instruments / Electronic Fund Transfers
27. Standardisation of Rating Symbols and Definitions
28. Change of Name by Listed Companies
29. Modification to Investor Protection Fund (IPF)/ Customer Protection Fund (CPF) Guidelines
30. Periodical Report- Grant of Prior Approval to Depository Participants
31. Periodical Report- Grant of Prior Approval to Credit Rating Agencies
32. Periodical Report- Grant of Prior Approval to Merchant Bankers
33. Periodical Report- Grant of Prior Approval to Underwriters
34. Periodical Report- Grant of Prior Approval to Registrars to an Issue and Share Transfer Agents
35. Shareholding of Promoter / Promoter Group to Be In Dematerialized Mode
36. Periodical Report- Grant of Prior Approval to Bankers to an Issue
37. Periodical Report- Grant of Prior Approval to Debenture Trustees
38. Review of Internet Based Trading (IBT) and Securities Trading Using Wireless Technology (STWT)
39. Modification of Client Codes of Non-Institutional Trades Executed On Stock Exchanges (All Segments)
40. Clarification Regarding Admission of Limited Liability Partnerships as Members of Stock Exchanges
41. Allocation of Government Debt Long Term Limits to FIIs
42. Indicative Portfolio or Yield in Close Ended Debt Oriented Mutual Fund Schemes
43. Revised Procedure for Seeking Prior Approval for Change in Control through Single Window
44. SMS and E-Mail Alerts to Investors by Stock Exchanges
45. Investment by Foreign Investors in Mutual Fund Schemes
46. Short-Collection/Non-Collection of Client Margins (Derivatives Segments)
Download the Quick Referencer
Quick Referencer – SEBI
_________________________
CS Brijesh Mathur
Managing Partner B Mathur & Co., Company Secretaries
Mobile No. 9310066825
Web-site: www.bmathurco.in
email-id: brijesh@bmathurco.in
address: 8/3 IInd Floor, WEA Karol Bagh, Delhi-110005
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