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SEBI : The SAT's ruling in Alpesh Vasanji Furiya v. SEBI is a significant clarification of the relationship between securities enforcem...
SEBI : SEBI flagged alleged revenue misrepresentation, undisclosed fund transfers, and accounting irregularities, raising concerns over d...
SEBI : SEBI is increasingly focusing on AI-powered investment advisory and research platforms in India. The article explains why fintech ...
SEBI : Negative net worth creates major interpretational challenges under Regulation 16 of SEBI LODR Regulations. This article explains t...
SEBI : This article explains mandatory website disclosure requirements under Regulations 46 and 62 of SEBI LODR Regulations, 2015. It hig...
SEBI : Following representations from the Bharat InvITs Association, SEBI has proposed amendments to NDCF computation rules. The draft in...
SEBI : SEBI has proposed a framework for managing strike prices of options contracts to address issues arising from sharp intraday market...
SEBI : SEBI has proposed major reforms to the Pre-open Call Auction mechanism after concerns over artificially suppressed prices in IPO a...
SEBI : SEBI revised the methodology for computing household savings through the securities market by incorporating actual granular data a...
SEBI : SEBI issued a draft consultation paper proposing limited relaxation of third-party payment restrictions in mutual funds for specif...
SEBI : The Supreme Court held that SEBI failed to establish fraud and market manipulation in RPL futures transactions. While disgorgement...
SEBI : SEBI overturned an earlier order that had exonerated the company, holding that key transactions allegedly created a misleading pic...
SEBI : The issue was whether failure to refund investor funds is time-barred. The Court held it is a continuing offence, rejecting the li...
SEBI : Calcutta High Court directs SEBI to accept Priya Ranjan Sah's payment, citing a one-day delay as not warranting prolonged litigati...
SEBI : The adjudication is conducted as per the mechanism outlined under SEBI Act and the rules framed thereunder. Notably, the provision...
SEBI : SEBIs investigation found that a substantial portion of reported consolidated revenues was unsupported by verifiable subsidiary re...
SEBI : SEBI has consolidated all AIF-related circulars issued up to May 31, 2026 into a single Master Circular. The key takeaway is a uni...
SEBI : NSE has clarified that regulatory exemptions available for Section 31 IBC resolution plans do not extend to plans approved under S...
SEBI : SEBI clarified that a cousin does not fall within the statutory definition of a relative under the Companies Act and LODR Regulati...
SEBI : SEBI modified nomination norms for demat accounts and mutual fund folios after receiving stakeholder feedback on implementation is...
Depositories and Depository Participants are required to preserve the records and documents for a minimum period of 8 years. In terms of Regulations 54 and 66 of the SEBI (Depositories and Participants) Regulations, 2018 (herein referred to as D&P Regulations, 2018) notified on October 03, 2018, Depositories and Depository Participants are required to preserve the records and documents for a minimum period of eight years
Quarterly / Half Yearly / Annual Compliances under SEBI Listing Regulations 2015 (LODR) 1. Regulation 7 (3) – Compliance Certificate certifying maintaining physical & electronic transfer facility Within one month of end of each half of the financial year. The listed entity shall submit a compliance certificate to the exchange, duly signed by both that […]
Quarterly / Half Yearly / Annual Compliances under SEBI Listing Regulations 2015 (LODR) Securities and Exchange Board of India (SEBI) on 2nd September 2015 issued the SEBI (Listing Obligation and Disclosure Requirement) Regulations, 2015 for listed entities. The Listed entities whose securities are listed on the Stock Exchanges has to comply and follow the compliances according […]
Analysis of SEBI Circular No. SEBI/HO/OIAE/IGRD/CIR/P/2020/152 dated August 13, 2020 which is effective from 01st September 2020 related to Handling of SCORES complaints by stock exchanges and Standard Operating Procedure (SOP) for non-redressal of grievances by listed companies. ♦ Background: > This circular is being issued in continuation of SEBI Circular dated March 26, 2018 […]
Reclassification of Promoters and Promoter Group Shareholders: SEBI has issued SEBI (Listing Obligations and Disclosures Requirements) Regulations, 2015 (“SEBI LODR Regulations”) on September 2, 2015. In that Regulations, Regulation 31A defines the shareholders reclassification from the promoter’s category to public category or vice versa with execution of open offer. Regulation 31A of SEBI LODR Regulation define shareholder […]
Investor grievances redressal mechanism – Handling of SCORES complaints by stock exchanges and Standard Operating Procedure for non-redressal of grievances by listed companies.
1. Eligibility criteria and shareholding limit for Clearing Corporation : 1. Any Clearing corporation or 2. any Indian recognized stock exchange or 3. Any clearing corporation of a foreign jurisdiction Shall form a subsidiary which provide the service of clearing corporation in IFSC wherein at least 51% of paid up share capital is held by such stock exchange or clearing corporation.
On June 8, 2011, SEBI commenced a web based centralized grievance redress system called as SEBI Complaints Redress System or SCORES. SCORES is a platform designed to help investors to lodge their complaints online with SEBI, pertaining to securities market, against listed companies, SEBI registered intermediaries and SEBI recognized Market Infrastructure Institutions.
Amendment to SEBI (Prohibition of Insider Trading) Regulations, 2015 as per notification – 17th July, 2020 SEBI has issued a notification dated 17th July, 2020 on Amendment to SEBI (Prohibition of Insider Trading) Regulations, 2015 effective from aforesaid date. We give below a summary of the major amendments, for your information: I. Structured Digital Database […]
SEBI, in its interactions with the Trustees had received feedback for providing administrative assistance to Trustees in monitoring various activities of the AMCs. Trustees shall appoint a dedicated officer having professional qualification and minimum 5 years of experience in finance and financial services related field.
