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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...
SEBI : SEBI has proposed replacing name-wise executive remuneration disclosures with consolidated disclosures for AMCs. The move seeks to...
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...
In terms of SEBI Circulars dated September 25, 2001, November 28, 2002, April 03, 2003 and February 04, 2004 about, inter alia, the captioned subject, agents/ distributors of mutual fund units were required to obtain certification from the Association of Mutual Funds in India (AMFI) by passing a certification examination, and to obtain registration with AM FI.
Provided that if the said associated person possesses a valid certificate by passing before June 01, 2010, the AMFI Mutual Fund (Advisors) Module, he shall be exempted from the requirement of the aforementioned NISM certification examination.
In terms of sub-regulation (1) of regulation 3 of the Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007 (the Regulations), the Board is empowered to require, by notification, any category of associated persons as defined in the Regulations to obtain requisite certification.
Notification No. LAD-NRO/GN/2010-11/11/6769, dated 31-5-2010 – The Securities and Exchange Board of India, having considered the application for renewal of recognition made under Section 3 of the Securities Contracts (Regulation) Act, 1956 by U.P. Stock Exchange Limited having its registered office at Padam Towers, 14/113, Civil Lines, Kanpur-208001 and being satisfied that it would be in the interest of the trade and also in the public interest so to do
Establishment of Connectivity with both depositories NSDL and CDSL – Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement. It is observed from the information provided by the depositories that the companies listed in Annexure ‘A’ have established connectivity with both the depositories during February and March 2010.
Sebi’s proposal to tighten the norms for investment in derivatives has run into opposition from mutual funds with the industry lobby arguing that fund managers need access to some of the products the regulator wants to ban.The Association of Mutual Funds in India (Amfi), the industry lobby, has sent its detailed response to the mutual funds advisory committee of the Sebi, which will take up the proposal at its next meeting on May 31.
Market regulator Sebi wants to end the practice of placing restrictive clauses by companies which strip their ADR/GDR investors of voting rights. The Sebi board meeting last week had deliberated on the need to remove obstacles to bringing the holders of global and American depository receipts (GDRs/ADRs) at par with domestic investors.
Stock market regulator Securities & Exchange Board of India has imposed a penalty of Rs 40 lakh on HSBC InvestDirect Securities for misusing client’s funds and securities.The regulator, during its inspection, had found HSBC InvestDirect (formerly known as IL&FS Investmart Securities) guilty on several accounts—failure to segregate its own fund from that of its client’s, not delivering securities as well as payments to its investors and for misuse of its clients funds and securities.
Dr. Pradnya Saravade took charge as Executive Director, Securities and Exchange Board of India in Mumbai today. Dr. Saravade is from the 1989 batch of the Indian Police Service and has served in the states ofWest Bengal and Maharashtra and the Central Bureau of Investigation.
Market regulator SEBI has asked stock brokers to provide the exchanges with a status report on the implementation of new client-broker agreement, which will become effective from June 30.
