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System for online transmitting the client wise pay-in obligation to depository so that the depository in turn could download the security pay-in instructions to depository participants in respect of the investor maintaining account with them.
The total exposure of the portfolio client in derivatives should not exceed his portfolio funds placed with the portfolio manager and the portfolio manager should basically invest and not borrow on behalf of his clients.
According to Regulation 33(3) of SEBI (Mutual Funds) Regulations 1996, the units of a close ended scheme may be converted to open ended scheme, if the offer document of such scheme discloses the option and the period of such conversion or the unitholders are provided with an option to redeem their units in full.
SEBI, in its endeavor, to make processing of application for registration/renewal simpler, speedier and effective, advise all the existing/prospective ‘Portfolio Managers.
the Exchanges shall also be required to inform SEBI within 7 days from the date of submission of the relevant audited results of cases where companies have failed to remove audit qualifications.
Though the brokers were legally bound to pay the fees as per the regulations, vide clause (v) of Part A of the said circular, it was also informed that those brokers, who had not paid fees, should pay atleast 50% of the principal due in the cash.
Any non compliance by the issuer company shall be viewed seriously and suitable action shall be initiated under the Depositories Act, 1996 against the issuer company and its Directors.
SEBI Advisory Committee on Derivatives has clarified certain types of transactions with illustrative examples which may be considered as hedging and portfolio balancing.
They shall confirm that the dematerialisation requests have been processed within 21 days and shall also state the reasons for shares pending confirmation for more than 21 days from the date of request.
It has therefore been decided that all the work related to share registry in terms of both physical and electronic should be maintained at a single point i.e. either in-house by the company or by a SEBI registered R & T Agent.
