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Payment of fees: The credit will be given for fees paid by the earlier merchant banking entity (transferor) to the entity to which the registration is being transferred (transferee).
All Exchanges are therefore required to adhere to the said format and certify that the transferor has paid SEBI turnover fees for all the previous years including that related to transactions of the current year and that there are no fee dues payable to SEBI by the transferor member.
Every listed company should in each annual report specify the name and address of each Stock Exchange at which the company’s securities are listed and whether the company has paid the annual listing fees to each such Exchange.
In continuation of our Circular No.SMD/POLICY/CIR-12/98 dated April 7, 1998 regarding amendments to Listing Agreement, we have to clarify that the events by way of illustrations mentioned at item (d) relating to price sensitive information etc.
The one time expenditure payable by the mutual funds to the depository may either be capitalised or may be included as part of recurring expenditure within the limits as permitted under the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996.
Enclosed is a copy of the Standard Offer Document and a copy of the memorandum containing key information for any scheme of a mutual fund.
Recently, as you are aware, some member brokers of your exchange have corporatised their memberships and accordingly applied to us for their SEBI Registration. We have completed the work of granting registration to the corporate members. Consequently, all sub-brokers affiliated to those member brokers who have corporatised their cards, will also need to apply to SEBI for transfer of their affiliation
Further to the amendments to the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996, which were notified on 12th January, 1998, a Corrigendum to the amended Regulations has been notified on 6th February, 1998, a copy of which is enclosed.
Governing Board members falling in the category (ii) shall be called as “SEBI Nominee”. Exchanges are advised to ensure that the correct terminology is used in all the documents/correspondence/Annual Report.
Recently we have come across certain cases while granting registration to brokers, where investor complaints were pending for long gainst the transferor members. In accordance with Rule 4(e) of SEBI Stock-
