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Consequential amendments to be carried out in Clause 35 of the Listing Agreement, pursuant to SAST Regulations 2011 are given in Annexure – 1 to this circular. Stock Exchanges are advised to carry out the said amendments in their Listing Agreement and confirm compliance of the same in the next monthly development report.
The Depositories shall: a) put in place a suitable mechanism to follow up with the DPs, wherever necessary; b) devise a system to levy penalty on DPs for any non-compliance with the requirements specified in para 3 above; c) update the status of the complaints in SCORES, at every stage, along with supporting documents; and d) ensure that the status of investor complaints disclosed on their websites is in conformity with the status updated in SCORES.
1. What is a depository? A ‘Depository’ is a provider of facility for holding securities in book entry or electronic form. It is a kind of bank for securities like shares, debentures, bonds, etc. It also facilitates transactions in the securities held by it.
In case of any request from these unitholders as detailed above for physical copies notwithstanding their registration of email addresses, AMCs shall provide the same without demur.
n this Quick referencer Author has has made an effort to summaries all the Circulars issued by SEBI from 01st January 2011 to 10th August 2011.Link to Download the Quick Referencer is given at the bottom of the post. Author has covered circulars on following topics in this compilation. 1. Modifications to Client Code Post Trade Execution 2. Introduction of Derivative Contracts on Foreign Stock Indices
The Government and the Securities and Exchange Board of India (SEBI) have put in place mechanisms to monitor and assess foreign institutional investments. These mechanisms help to promote safe, transparent and efficient markets and protect market integrity. The systems established include advanced risk management mechanisms comprising of on-line monitoring and surveillance, circuit filters, prescription of limits on positions etc.
NOTIFICATION NO. LAD-NRO/GN/2011-12/27668, DATED 30-8-2011 In exercise of the powers conferred by section 30 of the Securities and Exchange Board of India Act, 1992 (15 of 1992), the Board hereby makes the following regulations to further amend the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996, namely :— 1. These regulations may be called the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 2011.
In a reprieve to brokers having erred genuinely in their share sale or purchases, capital market regulator Sebi and the stock exchanges have decided not to penalise them if the trades executed in wrong names are declared as annulled. To escape penalisation, brokers would have to transfer the trades executed in the wrong client name or code to an ‘Error Account’, and not to some other client, and then liquidate the same.
Capital markets regulator Sebi today directed stock brokers and sub-brokers to redress investor complaints within a month of receiving them, saying that failure to do so would make them liable for penal action. The direction comes a day after it announced that all investor complaints should be forwarded to it electronically through recently established, centralised database system, Sebi Complaints Redressal System.
Please refer to SEBI Circular, dated 26-11-2010 & 31-3-2011, regarding FII investment in the corporate bonds issued by Indian companies which are in the infrastructure sector, where ‘infrastructure’ is defined in terms of the extant guidelines on External Commercial Borrowings (ECB).
