SEBI articles

Portfolio Managers – Frequently Asked Questions

A portfolio manager is a body corporate, which, pursuant to a contract with a client, advises or directs or undertakes on behalf of the client (whether as a discretionary portfolio manager or otherwise) the management or administration of a portfolio of securities or goods or funds of the client....

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Posted Under: SEBI |

Plea for extension of date for SEBI Settlement Scheme

For News Plea for extension of date for SEBI Settlement Scheme SEBI had introduced a Settlement Scheme, 2020, which provides onetime settlement during the period from 1st August, 2020 and the concluding date is  31st October 2020, to provide one time settlement opportunity to the entities which have executed trade reversals in the stock ...

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Posted Under: SEBI |

Registration For Alternative Investment Fund (AIF)

No entity or person shall act as an Alternative Investment Fund (AIF) unless it has obtained a certificate of registration from the Board (Securities and Exchange Board of India). Alternative Investment Fund shall seek registration in one of the categories mentioned hereunder: CATEGORY CATEGORY I AIF CATEGORY II AIF CATEGORY III AIF Prima...

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Posted Under: SEBI |

AMFI Guidance on MFD Nomenclature

After the notification of the SEBI Investment Adviser (Amendment) Regulations, 2020 on 3rd July, 2020, the Association of Mutual Funds in India (“AMFI”) has issued guidance regarding nomenclature to be used by Registered Mutual Fund Distributor. As per the said Regulations, no distributor shall use the nomenclature “Independent Fina...

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Posted Under: SEBI |

Analysis of Amendment in SEBI Guidelines for Investment Advisers

Securities and Exchange Board of India (SEBI) has notified Securities and Exchange Board of India (Investment Advisers) Regulations, 2013 on 21st January, 2013 and amended from time to time. SEBI, after considering the inputs from public consultation, reviewed the framework for regulation of Investment Advisers (IA) and in exercise of the...

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Posted Under: SEBI |

Regulation of Inter-transfer Mutual Fund Norms by SEBI

The Securities and Exchange Board of India (SEBI) on Oct 8, 2020, has stiffened Inter-scheme transfer (IST) rules for mutual funds for the purpose of ensuring safety to the investors’ interest and will be likely to be effective from January 1, 2021. SEBI has tightened MF norms on inter-scheme transfers (ISTs) by imposing certain co...

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Posted Under: SEBI |

FAQs on SEBI (PIT) Regulations 2015

Whether requirement of pre-clearance is applicable for exercise of employee stock options? Whether trading in ADRs and GDRs by employees of Indian companies who are foreign nationals is covered under provisions of PIT Regulations on code of conduct?...

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Posted Under: SEBI |

SEBI’s consultation paper on LODR Regulations – Its impact on listed entities

Corporate Governance is one of the important pillars for managing a corporate entity. It ensures transparency and ethical behavior in dealing with laws, procedures and practices while making informed managerial decisions for the benefit of all the stakeholders....

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Posted Under: SEBI |

SEBI (IFSC) Guidelines, 2015 Amendments- Analysis

SEBI UPDATES SEBI (IFSC) Guidelines, 2015 Amendments 1. Relevant Circular & Date :  SEBI/HO/MRD2/DCAP/CIR/P/2020/149 Dated 07th August 2020 2. Link to the SEBI (IFSC) Guidelines, 2015: https://taxguru.in/sebi/sebi-international-financial-services-centres-guidelines-2015.html 3. Object  of the Circular: To streamline the operations a...

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Arbitrage Funds-Safe & Most Tax Proficient Investment tool for Contingent Funds

Meaning, Modus operandi, and SEBI mandate of Arbitrage Funds  Arbitrage is the process of simultaneous buying and selling of financial instruments from different platforms, exchanges, or locations to cash in on the price difference (usually small in percentage terms). While getting into an arbitrage trade, the quantity of the underlying ...

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Posted Under: SEBI |

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