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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...
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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 : 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...
Market regulator Sebi today constituted a 16-member committee which will suggest a roadmap for developing corporate bond market in the country. The ‘Corporate Bonds & Securitisation Advisory Committee’ would be chaired by R H Patil, the Chairman of Clearing Corporation of India Ltd (CCIL), Sebi said in a statement.
Increase in overall limits- 1. The existing limit of USD 5 billion for investment by foreign Institutional investors (FIIs) in corporate bonds issued by companies in the infrastructure sector with a residual maturity of over five years has been increased by an additional limit of USD 20 billion taking the total limit to USD 25 billion. These investments are now permissible in unlisted instruments. Investments in unlisted bonds- FIIs shall now be eligible to invest in unlisted bonds issued by companies in the infrastructure sector that are generally organised in the form of special purpose vehicles.
Please refer to Circular No. IMD/FII&C/32/2008 dated October 16, 2008 read with Circular No. IMD/FII&C/34/2008 dated October 20, 2008 and Circular No. IMD/FII&C/4/2010 dated June 29, 2010 related to reporting of information pertaining to securities lent by the FIIs to entities abroad. Based on these circulars, FIIs have been submitting weekly reports based on which disclosures have been made available for public dissemination at http://203. 199.12.5 1/SecuritiesLentMain.html every Tuesday. The reports filed by the FIIs have been reviewed and it is noted that as on March 04, 2011 there are no outstanding short positions reported by the FIIs. While the prohibition on the activity of synthetic short continues, the FIIs are no longer required to file these reports, with effect from the date of this circular, as there are no outstanding short positions.
Faced with the Herculean task of handling lakhs of investor complaints, market regulator Sebi plans to rope in third party agencies for processing and maintenance of these grievances. The decision to outsource processing and maintenance of investor grievances has been taken by Sebi to help it resolve these complaints on a fast-track basis, a senior official said.
The regulator SEBI today announced a new set of Code of Conduct, including restricting access to Internet forums for employees, for market intermediaries to ensure that unsubstantiated news, which could distort normal functioning and prices of stocks, are not circulated. This comes in the wake of observations by the Securities and Exchange Board of India that unauthenticated news related to various scrips are circulated in blogs, chat forums or e-mails by employees of broking houses and other intermediaries in violation of rules.
Addendum to Circular no. Cir/ISD/1/2011 dated March 23, 2011 – Employees should be directed that any market related news received by them either in their official mail/personal mail/blog or in any other manner, should be forwarded only after the same has been seen and approved by the concerned Intermediary’s Compliance Officer. If an employee fails to do so, he/she shall be deemed to have violated the various provisions contained in SEBI Act/Rules/Regulations etc. and shall be liable for action. The Compliance Officer shall also be held liable for breach of duty in this regard.
Further, in various instances, it has been observed that the Intermediaries do not have proper internal controls and do not ensure that proper checks and balances are in place to govern the conduct of their employees. Due to lack of proper internal controls and poor training, employees of such intermediaries are sometimes not aware of the damage which can be caused by circulation of unauthenticated news or rumours. It is a well established fact that market rumours can do considerable damage to the normal functioning and behaviour of the market and distort the price discovery mechanisms.
The stock exchanges may consider shifting the trading in these securities to normal Rolling Settlement subject to the following: a) 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.
Cir. /IMD/DF/5/2011- March 16, 2011 – The Listing Agreement for securitized debt instruments as set out at Annexure shall come into force with immediate effect for all ‘securitised debt instruments, as defined under regulation 2(1 )(s) of the Securities and Exchange Board of India (Public Offer and Listing of Securitised Debt Instruments) Regulations, 2008, seeking listing on the Stock Exchange.
If Sebi has its way, wealth managers will have a tough time going forward as the capital markets watchdog is in the process of coming out with stern measures to regulate the relationship managers in particular and wealth management firms in general.
