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SEBI : SEBI modified nomination norms for demat accounts and mutual fund folios after receiving stakeholder feedback on implementation is...
(1) Where an Enquiry Officer is appointed, he shall, if he finds reasonable grounds to do so, issue a show cause notice to the intermediary concerned calling upon it to show cause as to why further action should not be taken against it under these Regulations, specifying therein the nature of the contraventions alleged to have been committed by him.
In the Securities and Exchange Board of India (Central Listing Authority) Regulations, 2003, in regulation 4, in sub-regulation (2), after the existing proviso, the following proviso shall be inserted,
(3) The acquirer shall, while filing the draft letter of offer with the Board under sub-regulation (1), pay a fee as mentioned in the following table, by bankers cheque or demand draft drawn in favour of the Securities and Exchange Board of India, payable at Mumbai
In Notifications S.O. No.5(E) dated January 3, 2005, S.O. No.28(E) dated January 6, 2005 and S.O. No.779(E) dated June 7, 2005, all published in the Gazette of India Extraordinary,
In the Securities and Exchange Board of India (Buy-Back of Securities) Regulations, 1998, in Schedule IV, for paragraph (1), the following paragraph shall be substituted,
In case of Capital Protection Oriented Scheme, the mutual funds shall disclose in the offer document, Key Information Memorandum (KIM) as well as in the advertisements that the scheme offered is “oriented towards protection of capital” and “not with guaranteed returns”.
It may be noted that Annual Information Returns (AIRs) constitute an important source of information to Income Tax Department and, as such, it is imperative that the data furnished to them is complete and accurate in all respects.
the units of the scheme are rated by a registered credit rating agency from the viewpoint of the ability of its portfolio structure to attain protection of the capital invested therein;
mutual funds can invest in ADRs/GDRs/Foreign Securities within overall limit of US$2 bn. with a sub-ceiling for individual mutual funds which should not exceed 10% of the net assets managed by them as on March 31 of each relevant year, subject to a maximum of US $100 mn. per mutual fund.
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 Regulations to further amend the Securities and Exchange Board of India (Stock Brokers and Sub Brokers) Regulations, 1992 namely
