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No. LAD-NRO/GN/2011-12/09/21233 – 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:- 1. These Regulations may be called the Securities and Exchange Board of India (Merchant Bankers) (Amendment) Regulations, 2011.
In consultation with BSE, MCX-SX, NSE and USE, it has been decided that the Stock Exchanges may allow modifications of client codes of non-institutional trades only to rectify a genuine error in entry of client code at the time of placing / modifying the related order.
. These Regulations may be called the Securities and Exchange Board of India (Depositories and Participants) (Amendment) Regulations, 2011. 2. They shall come into force on the date of their publication in the Official Gazette.
The country’s premier bourse Bombay Stock Exchange (BSE) is hopeful of launching its dedicated small-and-medium-enterprises (SME) exchange by September, 2011 onwards, a senior official said on Saturday. “BSE SME platform is expected to be operational September 2011 onwards, BSE CEO (SME Exchange) Laksman Gurulothu told PTI on sidelines of seminar on ‘Raising of Equity and Listing of SMEs on BSE SME Exchange’ here.
CIR/MRD/DP/ 09 /2011 At least 50% of other than promoter holdings as per clause 35 of Listing Agreement are in dematerialized mode before shifting the trading in the securities of the company from TFTS to normal Rolling Settlement. For this purpose, the listed companies shall obtain a certificate from its Registrar and Transfer Agent (RTA) and submit the same to the stock exchange/s. However, if an issuer-company does not have a separate RTA, it may obtain a certificate in this regard from a practicing company Secretary/Chartered Accountant and submit the same to the stock exchange/s.
Sub: Master Circular on AML/CFT – Anti Money Laundering (AML) Standards/ Combating the Financing of Terrorism (CFT) /Obligations of Securities Market Intermediaries under the Prevention of Money Laundering Act, 2002 and Rules framed there under. 1. The Prevention of Money Laundering Act, 2002 (PMLA) was brought into force with effect from 1st July 2005. Necessary […]
CIR/MRD/DP/ 8 /2011 June 30, 2011 Exchanges are advised to a) make necessary amendments to the relevant bye-laws, rules and regulations for the implementation of the above decision. b) bring the provisions of this circular to the notice of the member brokers/clearing members of the Exchange and also to disseminate the same on the website. c) communicate to SEBI, the status of the implementation of this circular in the Monthly Development Report.
In order to moderate sharp and destabilizing price movements in shares of companies, to encourage better price discovery and to increase transparency in securities market SEBI had issued a circular on “trading rules and shareholding in dematerialized mode” vide Cir. No. SEBI/Cir/ISD/1/2010, dated September 2, 2010. The said circular inter alia mandated securities of companies to be traded in normal segment, if and only if, the company has achieved at least 50% non-promoter shareholding in dematerialized form and maintained the same on a continuous basis.
The Supreme Court will hear on July 4 a Sahara group firm’s plea challenging a SEBI order directing the company to return money collected from investors through a scheme along with 15% interest.
HOW TO GET REGISTERED AS A MUTUAL FUND -SEBI will guide the applicant step by step after getting application for registration as a mutual fund. Normally, all replies are sent within 21 working days from the date of getting each communication from the applicant during the process of registration. Thus, the total time period for registration depends on how fast the requirements are complied with by the applicant.
