SEBI

Analysis of amended SEBI Law of Insider Trading for Window Closure

To ensure that the regulatory framework dealing with insider trading in India is further strengthened, SEBI had notified SEBI (Prohibition of Insider Trading) Regulations, 2015 [PTI Regulations] in place of an earlier Regulations....

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Innovators Growth Platform – Good Opportunity for Startup Listing

SEBI has come up with revised version along with relax norms for listing of new-age venture start-ups operating in e-commerce, data analytics, bio-technology and nano-technology sectors to raise funds and get their shares traded on stock exchanges. The name of platform is changed from 'Institutional Trading Platform' to 'Innovators Growth...

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Listing Compliance Calendar for Financial Year Ending March, 2019

Article compiles Listing Compliance Calendar For Financial Year Ending March, 2019 including Compliance with respect to Board Meeting for Approval of Financial Results. Nature of compliance include Disclosure of aggregate shareholding of promoters with voting rights as on 31st March,  Corporate Governance Report (XBRL), Statement of Inve...

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Periodic Compliances for a Listed Company For Equity Shares

The Listed entity shall comply with the following compliance under SEBI Listing Regulations 2015:- Quarterly Compliances Half Yearly Compliances Yearly Compliances Event Based Compliances Quarterly Compliances When to comply Regulation reference Timeline For the quarter ended June For the quarter ended September For the quarter ended Dec...

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Implementation of Kotak Committee Recommendations- Getting closer to best Corporate Governance Practices

Capital market regulator Securities and Exchange Board of India (SEBI) has approved sweeping changes to the corporate governance framework for listed companies. The new measures are based on recommendations made by a 25 members committee headed by Mr. Uday Kotak, Executive Vice Chairman and Managing Director of Kotak Mahindra Bank. The K...

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Self Regulatory Organizations in Securities Market

The distributors of MF products and Investment Advisers (IAs) are becoming important players in the market and growing in numbers. There are approx. 1.24 Lakh distributors of MF products as on February 28, 2019 and 1,136 IAs registered with SEBI as on March 19, 2019. ...

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Transfer of shares in physical form to be stopped from April 1, 2019

All the investors who are holding shares etc. in physical form, should consider opening a demat account at the earliest and submit request for dematerialization of their shares in order to protect the liquidity of the shares. Utilise this mandate to demat them so you and your family can actually make use of the wealth locked in them....

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Consultation Paper Issuance of shares with Differential Voting Rights [DVRs]

Securities and Exchange Board of India 1. BACKGROUND 1.1. There is increasing debate about the need to enable issuance and listing of shares with differential voting rights, commonly known as DVRs in India; and dual class shares or DCS in the international context. Such shares have rights disproportionate to their economic ownership. In p...

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Cabinet approves creation of Post of Technical Member in SAT, Mumbai 

The Union Cabinet chaired by Prime Minister Narendra Modi has approved the proposal for creation of the Post of Technical Member in Securities Appellate Tribunal (SAT), Mumbai at the level of Secretary to the Government of India in the pay scale of Rs. 2,25,000/- (fixed) or Level 17 of the Pay Matrix as per the […]...

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Paper on Amendment of SEBI InvIT / REIT Regulations, 2014

Consultation Paper on Amendment of SEBI (Infrastructure Investment Trusts) Regulation, 2014 and SEBI (Real Estate Investment Trusts) Regulation, 2014 ...

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SAT quashes Appeal filed by PWC, No Extension to carry out audit

Price 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...

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Naive to say that screen-based trades are anonymous and not synchronised: SC

Securities 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. ...

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SC orders Auction of Sahara’s Ambey Valley City; Subrata Roy to attend on 27.04.2017

S.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...

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SEBI bars ‘Reliance Industries’ from accessing equity market

Re. 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...

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Sahara to pay Rs. 750 crore before due diligence to sell its hotel in USA

S.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...

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Technology Committee for Mutual Funds / Asset Management Companies

Circular No. SEBI/HO/IMD/DF2/CIR/P/2019/058 - (11/04/2019) - In order to deal with various technology related issues, AMCs are advised to constitute a Technology Committee comprising experts proficient in technology. Such committee shall have atleast one independent external expert with adequate experience in the area of technology in Mutual Fund industry / ...

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System Audit framework for Mutual Funds / AMCs

Circular No. SEBI/HO/IMD/DF2/CIR/P/2019/57 - (11/04/2019) - Considering the importance of systems audit in technology driven asset management activity and to enhance and standardize the systems audit, revised guidelines in this regard are placed at Annexure 1. These guidelines are indicative and not exhaustive in nature. On the date of issuance of this circu...

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BSDA limit- SEBI revises structure of charges for debt securities

Circular No. MRD/DoP2DSA2/CIR/P/2019/51 - (10/04/2019) - In order to further boost participation in Debt Market and based on representation received from market participants, in partial modification of the abovementioned SEBI circulars, it has been decided to revise the structure of charges for debt securities as defined in SEBI (Issue and Listing of Debt...

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Risk-based capital & net worth requirements for Clearing Corporations

Circular No. SEBI/HO/MRD/DRM NP/CIR/P/2019/55 - (10/04/2019) - Risk-based capital and net worth requirements for Clearing Corporations under Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018...

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SEBI (Issue of Capital and Disclosure Requirements) (Second Amendment) Regulations, 2019

Notification No. SEBI/LAD-NRO/GN/2019/08 - (05/04/2019) - Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Second Amendment) Regulations, 2019 shall come into force on the date of their publication in the Official Gazette....

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Recent Posts in "SEBI"

Analysis of amended SEBI Law of Insider Trading for Window Closure

To ensure that the regulatory framework dealing with insider trading in India is further strengthened, SEBI had notified SEBI (Prohibition of Insider Trading) Regulations, 2015 [PTI Regulations] in place of an earlier Regulations....

Read More
Posted Under: SEBI |

Technology Committee for Mutual Funds / Asset Management Companies

Circular No. SEBI/HO/IMD/DF2/CIR/P/2019/058 (11/04/2019)

In order to deal with various technology related issues, AMCs are advised to constitute a Technology Committee comprising experts proficient in technology. Such committee shall have atleast one independent external expert with adequate experience in the area of technology in Mutual Fund industry / BFSI....

Read More

System Audit framework for Mutual Funds / AMCs

Circular No. SEBI/HO/IMD/DF2/CIR/P/2019/57 (11/04/2019)

Considering the importance of systems audit in technology driven asset management activity and to enhance and standardize the systems audit, revised guidelines in this regard are placed at Annexure 1. These guidelines are indicative and not exhaustive in nature. On the date of issuance of this circular, SEBI Circular SEBI/IMD/CIR No.9/176...

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BSDA limit- SEBI revises structure of charges for debt securities

Circular No. MRD/DoP2DSA2/CIR/P/2019/51 (10/04/2019)

In order to further boost participation in Debt Market and based on representation received from market participants, in partial modification of the abovementioned SEBI circulars, it has been decided to revise the structure of charges for debt securities as defined in SEBI (Issue and Listing of Debt Securities) Regulations, 2008, as given...

Read More

Risk-based capital & net worth requirements for Clearing Corporations

Circular No. SEBI/HO/MRD/DRM NP/CIR/P/2019/55 (10/04/2019)

Risk-based capital and net worth requirements for Clearing Corporations under Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018...

Read More

Innovators Growth Platform – Good Opportunity for Startup Listing

SEBI has come up with revised version along with relax norms for listing of new-age venture start-ups operating in e-commerce, data analytics, bio-technology and nano-technology sectors to raise funds and get their shares traded on stock exchanges. The name of platform is changed from 'Institutional Trading Platform' to 'Innovators Growth...

Read More
Posted Under: SEBI |

SEBI (Issue of Capital and Disclosure Requirements) (Second Amendment) Regulations, 2019

Notification No. SEBI/LAD-NRO/GN/2019/08 (05/04/2019)

Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Second Amendment) Regulations, 2019 shall come into force on the date of their publication in the Official Gazette....

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SEBI extends time to implement Phase I of UPI with ASBA

Circular No. SEBI/HO/CFD/DIL2/CIR/P/2019/50 (03/04/2019)

It has been decided to extend the timeline for implementation of Phase I of the aforesaid Circular by 3 months i.e. till June 30, 2019. The implementation of Phase II and III shall continue unchanged as per the aforesaid Circular from the date of completion of Phase I as above....

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Listing Compliance Calendar for Financial Year Ending March, 2019

Article compiles Listing Compliance Calendar For Financial Year Ending March, 2019 including Compliance with respect to Board Meeting for Approval of Financial Results. Nature of compliance include Disclosure of aggregate shareholding of promoters with voting rights as on 31st March,  Corporate Governance Report (XBRL), Statement of Inve...

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Posted Under: SEBI |

Empanelment of IPs as Administrator under SEBI Regulations

Circular No. SEBI/HO/RRD/RD1/CIR/P/2019/46 (02/04/2019)

SEBI Circular on Empanelment of Insolvency Professionals (IPs) to be appointed as Administrator, remuneration and other incidental and connected matters under the Securities and Exchange Board of India (Appointment of Administrator and Procedure for Refunding to the Investors) Regulations, 2018....

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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.