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SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015: Compliance track for ‘Debt Listed Entities’: Chapter V of SEBI(LODR) Regulations 2015 prescribes the obligations for those Listed Entities which has listed its “Non-Convertible Debt Securities and Non-Convertible Redeemable Preferences Shares” A. Ann...
Read MoreSEBI (Listing Obligations and Disclosure Requirements) Regulations 2015 for Compliance track of Listed Entities for Quarterly / Half yearly / Annual year ended: A. Quarterly – Compliance: S No. Regulation Quarter Time period Due date 1. 13(3) Statement of Investor complaints April –June Within 21 Twenty one days from the e...
Read MoreArticle covers Introduction to Corporate Governance, Importance of Corporate Governance, Need of Corporate Governance, Corporate Governance Principles, Benefits of Corporate Governance, Responsibilities Of The Board Of Directors, Five Golden Rules of Corporate Governance, Components Of Corporate Governance, Regulatory Framework In India A...
Read MoreTakeover implies acquisition of control of a company which is already registered through the purchase or exchange of shares. Takeover takes place usually by acquisition or purchase from the shareholders of a company their shares at a specified price to the extent of atleast controlling interest in order to gain control of the company....
Read MoreIntroduction On June 8, 2018, SEBI came up with a notification with an amendment in Regulation 40 of SEBI (LODR) Regulations, 2015, which restricts (Listed Companies) the transfer of shares in physical form. In other words, after December 5, 2018 shares will be transferred in demat form only. Non- Applicability of amendment This amendment...
Read MoreThis Guidance Note is issued for providing guidance to the practitioners in reporting requirements that are required in relation to financial information to be included in the prospectus in case of initial public offering (IPO) in accordance with Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulat...
Read MoreAlways deal with SEBI registered Investment Advisers. Ensure that the Investment Adviser has a valid registration certificate. Pay only advisory fees to your Investment Adviser. Make payments of advisory fees through banking channels only and maintain duly signed receipts mentioning the details of your payments....
Read MoreThe regulatory framework for Institutional Trading Platform was put in place vide amendments to the SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009 on August 14, 2015, with a view to facilitate listing of new age start-ups in sectors like e-commerce, data analytics, bio-technology and other start-ups....
Read MoreObjective of consultation paper on Review of Regulatory Framework for Debenture Trustees (DTs) is to seek comments/ views from public on proposals that are intended to strengthen regulatory framework for Debenture Trustees (DTs) as well as empower DTs to effectively discharge their responsibilities towards debenture holders of listed de...
Read MoreAs per the amendments in Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2012 as notified on April 02, 2018 in the Gazette of India, there would be no separate category of ‘Commodity Derivatives Exchanges’ w.e.f. October 1, 2018....
Read MorePrice Waterhouse & Co. Bangalore LLP Vs. SEBI (Securities Appellate Tribunal) - Price Waterhouse & Co. Bangalore LLP Vs SEBI (Securities Appellate Tribunal) 1. By this Miscellaneous Application Applicants / Original Appellants seek extension of the period of interim relief granted by this Appellate Tribunal vide order dated 15.02.2018. By the said order Applicants /Appellan...
Read MoreSecurities And Exchange Board Of India Vs. Rakhi Trading Private Ltd. (Supreme Court of India) - The Supreme Court has set aside an order of the Securities Appellate Tribunal (SAT) which held that only if there is market impact on account of sham transactions, could there be violation of the Prohibition of Fraudulent and Unfair Trade Practices Regulations. ...
Read MoreS.E.B.I. Vs Sahara India Real Estate Corpn. Ltd. & ors. (Supreme Court of India) - As no amount has been deposited by the contemnor, we are inclined to go ahead with auction for the Aamby Valley City near Lonavala, Maharashtra. Let the matter be listed at 2 p.m. on 27th April, 2017, on which day, the contemnor, Mr. Subrata Roy Sahara, shall remain personally present before this Co...
Read MoreRe. Reliance Petroleum Ltd. (RPL) (SEBI) - Going by the facts narrated by Noticee No. 1, liquidation of 5 % stake was decided. The same had to be done in an orderly manner. There was no outer time fixed for liquidation. Being guided by the analysts reports and the price trends of the scrip, Noticee No. 1 decided to start the sale in November...
Read MoreS.E.B.I. Vs. Sahara India Real Estate Corpn. Ltd.& Ors. (Supreme Court) - SC Said The permission can only be granted if SAHARA deposits a sum of Rs.750 crores before the Registry of this Court on or before 17th April, 2017...
Read MoreCircular No. SEBI/HO/CFD/CMD1/CIR/P/2018/0000000149 - (07/12/2018) - Securities and Exchange Board of India CIRCULAR SEBI/HO/CFD/CMD1/CIR/P/2018/0000000149 December 7, 2018 To All Listed entities All the Recognised stock exchanges All the Depositories Dear Sir/Madam, Sub: Disclosure of significant beneficial ownership in the shareholding pattern 1. Vide SEBI Circular...
Read MoreCircular No. CIR/MRD/CSC/148/2018 - (07/12/2018) - Recognizing the need for a robust Cyber Security and Cyber Resilience framework at Market Infrastructure Institutions (MIIs), i.e., Stock Exchanges, Clearing Corporations and Depositories, vide SEBI Circular CIR/MRD/DP/13/2015 dated July 06, 2015, a detailed regulatory framework on cyber security an...
Read MoreNotification No. SEBI/LAD-NRO /GN/ 2018/50 - (06/12/2018) - 1. These Regulations may be called the Securities and Exchange Board of India (Mutual Funds) (Third Amendment) Regulations, 2018. 2. They shall come into force on the date of their publication in the Official Gazette....
Read MorePress Releases No. 50/2018-SEBI - (04/12/2018) - Submission of Report of the Expert Committee for listing of equity shares of companies incorporated in India on foreign stock exchanges and vice versa...
Read MoreSEBI/HO/MIRSD/CIR/PB/2018/147 - (03/12/2018) - Rapid technological developments in securities market have highlighted the need for maintaining robust cyber security and cyber resilience framework to protect the integrity of data and guard against breaches of privacy....
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Circular No. SEBI/HO/CFD/CMD1/CIR/P/2018/0000000149 - (07/12/2018) -
Circular No. CIR/MRD/CSC/148/2018 - (07/12/2018) -
Notification No. SEBI/LAD-NRO /GN/ 2018/50 - (06/12/2018) -
Press Releases No. 50/2018-SEBI - (04/12/2018) -
SEBI/HO/MIRSD/CIR/PB/2018/147 - (03/12/2018) -
PR No.: 49/2018 - (03/12/2018) -
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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:
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