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CIRCULAR NO. MIRSD/19/2011, DATED 26-8-2011 Henceforth all complaints shall be forwarded electronically through SCORES only. You are hereby directed to view the pending complaints at http://scores.gov.in/admin and submit the ATR along with supporting documents electronically in SCORES. Please note that updation of action taken would not be possible with physical ATRs. Hence, submission of physical ATR will not be accepted for complaints lodged in SCORES.
CIRCULAR NO. MIRSD/18/2011, DATED 25-8-2011 1. SEBI has commenced processing of investor grievances in a centralized web-based complaints redressal system, ‘SCORES’. The salient features of this system are: l Centralized database of all complaints; l Online movement of complaints to the concerned entities; l Online upload of Action Taken Reports (ATRs) by the concerned entities; and l Online tracking of status of complaints by investors.
CIRCULAR NO. CIR/MIRSD/17/2011, Henceforth all complaints to SEBI shall be forwarded electronically through SCORES only. You are hereby directed to view the pending complaints at http://scores.gov.in/admin and submit the ATR along with supporting documents electronically in SCORES. Please note that updation of action taken would not be possible with physical ATRs. Hence, submission of physical ATR will not be accepted for complaints lodged in SCORES.
CIR/MIRSD/16/2011 With a view to simplify and rationalize the account opening process, we have reviewed, consolidated and updated all the documents/requirements prescribed in respect of account opening process over the years, in consultation with major stock exchanges and market participants. The simplification includes replacement of all client-broker agreements with the ‘Rights and Obligations’ document, which shall be mandatory and binding on the existing and new stock brokers (including trading members) and clients. Accordingly, SEBI (Stock Broker and Sub-Broker) Regulations, 1992 have been amended suitably vide notification No. LADNRO/GN/201 1-12/19/26273 dated August 17, 2011.
. It has been represented to SEBI that distributors incur expenditure on traveling and incidentals for reaching investors and procuring business for Mutual Funds. Distributors are also required to set up appropriate infrastructure for servicing investors as well as incur certain expenses while marketing the units of Mutual Funds. In order to enable people with small saving potential and to increase reach of Mutual Fund products in urban areas and smaller towns, it has been decided that a transaction charge per subscription of Rs. 10,000/- and above be allowed to be paid to the distributors of the Mutual Fund products from the date of this circular. However, there shall be no transaction charges on direct investments. The transaction charge shall be subject to the following:
NOTIFICATION F.NO. LAD-NRO/GN/2011-12/19/26273, DATED 17-8-2011 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 (Stock Brokers and Sub-Brokers) Regulations, 1992, namely:— 1. These Regulations may be called the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Second Amendment) Regulations, 2011.
NOTIFICATION NO. LADNRO/GN/2011-12/17/26149, DATED 16-8-2011 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 amend the Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992, namely:—
AMENDMENT IN REGULATION 13 AND SCHEDULE III- These regulations may be called Securities and Exchange Board of India (Prohibition of Insider Trading) (Amendment) Regulations, 2011.
With an aim to shielding investors from vested interests and potential corporate scams, market regulator the Securities and Exchange Board of India (Sebi) has proposed to frame a strict set of rules for research analysts and wants an independent oversight body for auditors. At the same time, the market watchdog is planning to prescribe a fresh set of guidelines for dealing with conflict of interest of associated persons in the market. It would also set up a separate unit for monitoring ‘Systemically Important Financial Institutions’ or very-large market entities.
Circular No. CIR/DNPD/7/2011 In consultation with BSE, MCX-SX, NSE and USE, it has been decided that Stock Exchanges shall levy penalty specified hereunder on trading members for shortcollection/non-collection of margins from clients in Equity and Currency Derivatives segments: If short/non-collection of margins for a client continues for more than 3 consecutive days, then penalty of 5% of the shortfall amount shall be levied for each day of continued shortfall beyond the 3rd day of shortfall.
