SEBI

Key Highlights of SEBI (Investment Advisers) (Amendment) Regulations, 2020

In January, SEBI floated a consultation paper on review of regulatory framework for investment advisers and sought comments from the public on the same. The consultation paper had created a buzz among RIA community as to how the new regulatory regime would turn out for them in an already challenging and competitive environment. The so [&h...

Read More

Amendment in SEBI Investment Advisers Regulation 2013

SEBI has made changes in existing Investment Adviser regulation via amendment dated July 03, 2020. SEBI (Investment Advisers) (Amendment) Regulations, 2020 Some key changes are highlighted as below: 1. Distributors shall not use the nomenclature “Independent Financial Adviser or IFA or Wealth Adviser or any other similar name” unless ...

Read More

Dilemma of fee model for Investment Advisory Practice

There is long standing dilemma among the Investment Advisers fraternity as to which fee model should an investment Adviser adopt. It is quite obvious that advisers having different business models require different type of fee model. So ‘One Size Fits All’ approach cannot be adopted for all advisory business practice. Advisers are hav...

Read More

FAQs on Compliance Audit by SEBI Registered Research Analysts

Frequently asked questions on Compliance Audit We have been receiving multiple questions related to Compliance audit requirement by SEBI Registered Research Analysts. Based on that we have attempted to capture some of the common questions. 1. What is Compliance Audit? Basically Compliance Audit is checking of the compliances followed by t...

Read More

Impact & Analysis of SEBI (Investment Advisers) (Amendment) Regulations, 2020

Impact and Analysis of the SEBI (Investment Advisers) (Amendment) Regulations, 2020 Earlier this year SEBI has issued the Consultation Paper on 16th January, 2020 seeking public comments on the proposed changes. Post this, in February, 2020 SEBI in its Board Meeting approved certain changes to it. Now on 3rd July, 2020 SEBI has notified ...

Read More

Ease of Compliances by SEBI on Real Estate Investment Trust funds (REITs)

It could be observed from all the actions taken by the Government that it is ensuring that while the country is struggling with the pandemic, the businesses go on smoothly. Previously, the regulator, SEBI had allowed postponement in the time-limit for the submissions required to be done by all the REITs and Invits. However, announcin...

Read More

Extend due date for filing under Regulation 24A of LODR Regulations

Company Secretaries in Practice are also facing same difficulties in the issuance of the Annual Secretarial Compliance Report as been faced by the Auditors due to continuing lockdown in the Country particularly in the State of Tamilnadu, location of the listed companies, its subsidiaries and associates in containment zones and other opera...

Read More

Report on Measures for Strengthening Enforcement Mechanism of SEBI & Incidental Issues

HIGH LEVEL COMMITTEE UNDER THE CHAIRMANSHIP OF JUSTICE ANIL R. DAVE, RETIRED JUDGE, SUPREME COURT OF INDIA A REPORT ON THE MEASURES FOR STRENGTHENING THE ENFORCEMENT MECHANISM OF THE BOARD AND INCIDENTAL ISSUES PREFACE The Securities and Exchange Board of India was set-up with the following mandates, – (i) to protect the interest of...

Read More

SEBI invites comment on Report on Measures for Strengthening Enforcement Mechanism

Securities and Exchange Board of India Notice inviting comments on the recommendation made by High Level Committee under the Chairmanship of Justice A. R. Dave, Retired Judge, Supreme Court of India, on the Measures for Strengthening the Enforcement Mechanism of the Board and Incidental Issues. Dated the 16th June, 2020 1. The High Level...

Read More

BSE SME Listing Eligibility Norms relaxed due to COVID-19

Bombay Stock Exchange (BSE) vide notice no. 20200522-21 dated 22nd May, 2020 relaxed Eligibility Criteria for SMEs in view of Covid-19 Pandemic Situation with effect from June 1, 2020. It amends BSE circular dated 19th April 2012 related to eligibility criteria for companies seeking listing on BSE SME Platform as well as the guidelines fo...

Read More

Seize ₹ 3.83 Cr from Dynamatic CEO in Insider Trading case: SEBI

Dr. Udayant Malhoutra Vs SEBI (SAT Mumbai) - Dr. Udayant Malhoutra Vs SEBI (Securities Appellate Tribunal, Mumbai) 1. The present appeal has been filed against an ex-parte order dated June 15, 2020 passed by the Whole Time Member (‘WTM’ for short) of Securities and Exchange Board of India (‘SEBI’ for short) directing th...

Read More

SC grants controlled discretion to Adjudicating Officer | Section 15J | SEBI Act

Adjudicating Officer Vs Bhavesh Pabari (Supreme Court India) - SC grants controlled discretion to Adjudicating Officer under Section 15J of The SEBI Act The Supreme Court of India ruled in Adjudicating Officer, SEBI v. Bhavesh Pabari (Bhavesh Pabari) granting back the discretionary power to Adjudicating Officer (AO) under supervision and scrutiny of the c...

Read More

Proceedings cannot be quashed merely for delay in launching: SAT

Pooja Vinay Jain Vs SEBI (Securities Appellate Tribunal) - In the present case, the appellant neither put a plea of prejudice before the AO nor before us. It was simply stated that since the proceedings were launched by respondent SEBI after a period seven years, the same should be quashed on the ground of delay. The record would show that all the documents...

Read More

Offer of RPS was considered as deemed public issue and abide by public issue norms of SEBI

In re Deemed Public Issue Norms (Securities and Exchange Broad of India) - In re Deemed Public Issue Norms (Securities and Exchange Broad of India) Conclusion:  Offer of RPS by the company and pursuant allotment were deemed public issue of securities under the first proviso to Section 67(3) of the Companies Act, therefore, all the noticees were jointly and severally with ...

Read More

Delhi HC grants relief to Indiabulls Housing Finance on NCD dues

Indiabulls Housing Finance Ltd. Vs SEBI (Delhi High Court) - It has become impossible for the petitioner to effect recoveries of debts, owed to it by various institutions, which, in the submission of Mr. Nayar, aggregate to over Rs. 3 crores. In view thereof, the submission of Mr. Nayar is that, as the lockdown has been presently extended till 3rd May, 2020,...

Read More

SEBI (Investment Advisers) (Amendment) Regulations, 2020

No. SEBI/LAD-NRO/GN/2020/22 - (03/07/2020) - 1. These Regulations may be called the Securities and Exchange Board of India (Investment Advisers) (Amendment) Regulations, 2020. 2. They shall come into force on the ninetieth day from the date of their publication in the Official Gazette....

Read More

SEBI (Issue of Capital and Disclosure Requirements) (Third Amendment) Regulations, 2020

Notification No. SEBI/LAD-NRO/GN/2020/21 - (01/07/2020) - 1. These regulations may be called the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Third Amendment) Regulations, 2020. 2. They shall come into force on the date of their publication in the Official Gazette....

Read More

SEBI (Substantial Acquisition of Shares and Takeovers) (Third Amendment) Regulations, 2020

Notification No. SEBI/LAD-NRO/GN/2020/20 - (01/07/2020) - These regulations may be called the Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) (Third Amendment) Regulations, 2020. They shall come into force on the date of their publication in the Official Gazette....

Read More

Relaxation from compliance to REITs & InvITs due to CoVID-19

Circulars No. SEBI/HO/DDHS/DDHS/CIR/P/2020/114 - (01/07/2020) - SEBI further extends due date for regulatory filings and compliances for REIT and InvIT for te period ending March 31, 2020 by a month over and above the extended timelines specified vide the aforementioned  Circular....

Read More

SEBI SOP in cases of Trading/Clearing Member leading to default

SEBI/HO/MIRSD/DPIEA/CIR/P/2020/115 - (01/07/2020) - On analysis of early warning signals or any of the following triggers, if the SE / CC is of the view that the TM / CM is likely to default in the repayment of funds / securities to its clients and / or fail to meet the settlement obligations...

Read More

Browse All Categories

CA, CS, CMA (4,807)
Company Law (6,163)
Custom Duty (7,796)
DGFT (4,244)
Excise Duty (4,368)
Fema / RBI (4,245)
Finance (4,457)
Income Tax (33,467)
SEBI (3,528)
Service Tax (3,564)

Recent Posts in "SEBI"

Key Highlights of SEBI (Investment Advisers) (Amendment) Regulations, 2020

In January, SEBI floated a consultation paper on review of regulatory framework for investment advisers and sought comments from the public on the same. The consultation paper had created a buzz among RIA community as to how the new regulatory regime would turn out for them in an already challenging and competitive environment. The so [&h...

Read More
Posted Under: SEBI |

Amendment in SEBI Investment Advisers Regulation 2013

SEBI has made changes in existing Investment Adviser regulation via amendment dated July 03, 2020. SEBI (Investment Advisers) (Amendment) Regulations, 2020 Some key changes are highlighted as below: 1. Distributors shall not use the nomenclature “Independent Financial Adviser or IFA or Wealth Adviser or any other similar name” unless ...

Read More
Posted Under: SEBI |

Dilemma of fee model for Investment Advisory Practice

There is long standing dilemma among the Investment Advisers fraternity as to which fee model should an investment Adviser adopt. It is quite obvious that advisers having different business models require different type of fee model. So ‘One Size Fits All’ approach cannot be adopted for all advisory business practice. Advisers are hav...

Read More
Posted Under: SEBI |

FAQs on Compliance Audit by SEBI Registered Research Analysts

Frequently asked questions on Compliance Audit We have been receiving multiple questions related to Compliance audit requirement by SEBI Registered Research Analysts. Based on that we have attempted to capture some of the common questions. 1. What is Compliance Audit? Basically Compliance Audit is checking of the compliances followed by t...

Read More
Posted Under: SEBI |

Ease of Compliances by SEBI on Real Estate Investment Trust funds (REITs)

It could be observed from all the actions taken by the Government that it is ensuring that while the country is struggling with the pandemic, the businesses go on smoothly. Previously, the regulator, SEBI had allowed postponement in the time-limit for the submissions required to be done by all the REITs and Invits. However, announcin...

Read More
Posted Under: SEBI |

Impact & Analysis of SEBI (Investment Advisers) (Amendment) Regulations, 2020

Impact and Analysis of the SEBI (Investment Advisers) (Amendment) Regulations, 2020 Earlier this year SEBI has issued the Consultation Paper on 16th January, 2020 seeking public comments on the proposed changes. Post this, in February, 2020 SEBI in its Board Meeting approved certain changes to it. Now on 3rd July, 2020 SEBI has notified ...

Read More
Posted Under: SEBI |

Extend due date for filing under Regulation 24A of LODR Regulations

Company Secretaries in Practice are also facing same difficulties in the issuance of the Annual Secretarial Compliance Report as been faced by the Auditors due to continuing lockdown in the Country particularly in the State of Tamilnadu, location of the listed companies, its subsidiaries and associates in containment zones and other opera...

Read More
Posted Under: SEBI |

SEBI Updates From 01.07.2020 To 03.07.2020

A. Notification of Amendments to SEBI (Investment Advisers), Regulation, 2013 Introduced by: SEBI Press Release PR No. 37/2020, Dated 03.07.2020 What are the announcements in press release regarding notifications of Amendments to SEBI (Investment Advisers) Regulation 2013 Purpose of the Amendment To strengthen the regulatory framework for...

Read More
Posted Under: SEBI |

SEBI (Investment Advisers) (Amendment) Regulations, 2020

No. SEBI/LAD-NRO/GN/2020/22 (03/07/2020)

1. These Regulations may be called the Securities and Exchange Board of India (Investment Advisers) (Amendment) Regulations, 2020. 2. They shall come into force on the ninetieth day from the date of their publication in the Official Gazette....

Read More

SEBI (Issue of Capital and Disclosure Requirements) (Third Amendment) Regulations, 2020

Notification No. SEBI/LAD-NRO/GN/2020/21 (01/07/2020)

1. These regulations may be called the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Third Amendment) Regulations, 2020. 2. They shall come into force on the date of their publication in the Official Gazette....

Read More

Latest SEBI News

Get the Latest News on SEBI from Taxguru. Read all the relevant SEBI circulars, updates to SEBI Act and SEBI Regulations exclusively at Taxguru. SEBI (Securities and Exchange Board of India) was established in 1988 as a non-statutory body to regulate the Indian securities market. On April 12th, 1992, the Government of India made SEBI an autonomous body and offered statutory powers by passing the SEBI Act 1992 in the Parliament. SEBI is the regulator for the Indian securities market and has three major functions:  quasi-judicial, quasi-legislative and quasi-executive. With the increase in the number of dealings in the Indian stock markets, a lot of malpractices was seen like price rigging, the unofficial premium on a new issue, delay in shares delivery, violations with respect to rules and regulations of the stock exchange and the listing requirements. With all such malpractices in place, the customers were losing their faith and confidence in the Indian stock exchange. Hence, the Indian government decided to set up a regulatory body or an agency known as SEBI (Securities Exchange Board of India). SEBI drafts the regulations in the legislative capacity, it conducts investigations and enforces actions as per its executive function and it also passes orders and rulings as per its judicial capacity.The Indian Government has been vested SEBI with the following powers:
  • for approving the by−laws of stock exchanges.
  • requiring the stock exchange for amending their by−laws.
  • inspecting the books of accounts and calling for periodical returns from the recognized stock exchanges.
  • inspecting the books of accounts of the financial intermediaries.
  • compelling companies for list their shares on stock exchanges.
  • registration brokers.
At Taxguru, we bring you all the recent and the latest news on SEBI and SEBI regulations. Our panel of experts publishes SEBI circulars as and when there are any developments. Find out all the trending and latest SEBI news here at Taxguru. Get to know more about SEBI Act and SEBI regulations with blogs and articles published by our experts.

Featured Posts