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SEBI : Failure to comply with accounting standards may violate LODR regulations, affecting financial transparency, director accountabilit...
SEBI : SEBI’s LODR Amendments 2024 introduce key changes in compliance, RPTs, and governance. Are they simplifying processes or adding ...
SEBI : Learn the common reasons for DRHP rejection, including incomplete disclosures and non-compliance, and practical measures to naviga...
SEBI : Understand compliance requirements for listed companies under SEBI LODR 2015, including ESG, BRSR Core, and market cap-based oblig...
SEBI : Explore India's move to T+0 equity settlement, offering same-day trade finalization. Learn about its benefits, challenges, and imp...
SEBI : SEBI proposes changes to disclosure norms for REITs and InvITs. Public comments are invited until March 7, 2025. Submit feedback v...
SEBI : SEBI invites public comments on strengthening ESG Rating Providers. Feedback can be submitted online by March 6, 2025. Read the co...
SEBI : SEBI drafts new rules for margin pledges to prevent misuse of client securities and seeks public comments by March 4, 2025....
SEBI : SEBI invites comments on revising advance fee limits for Investment Advisers and Research Analysts, proposing a one-year cap with ...
SEBI : SEBI proposes a mechanism to manage unclaimed client funds and securities with Trading Members. Public comments invited until Marc...
SEBI : SEBI prosecutes directors of Gujarat Arth Ltd for market manipulation and fraudulent trading under SEBI Act....
SEBI : Since 1986 to 1997, Petitioner acquired shares, in tranches, of Respondent No.4-Company. The Petitioner subsequently sold some of ...
SEBI : In the instant case, assessee was a senior citizen and a medical practitioner, had his Demat accounts frozen by the National Secur...
SEBI : Explore the disclosure and compliance requirements for listed entities under SEBI regulations, including quarterly, half-yearly, a...
SEBI : Supreme Court's landmark ruling in SEBI v. Abhijit Ranjan clarifies insider trading laws, emphasizing the importance of profit mot...
SEBI : SEBI relaxes deadlines for Alternative Investment Funds (AIFs) to hold investments in dematerialised form, with new requirements e...
SEBI : SEBI updates Consolidated Account Statement (CAS) timelines, extending data submission and dispatch deadlines for monthly and half...
SEBI : Learn about SEBI’s Industry Standards Manual, outlining the formation, scope, and functioning of Industry Standards Forums to ea...
SEBI : SEBI introduces MITRA, a platform to help investors trace inactive and unclaimed Mutual Fund folios, ensuring transparency and fra...
SEBI : SEBI issues guidelines for stock brokers to access NDS-OM for Government Securities trading under Separate Business Units. Complia...
Any person aggrieved by an order of the Board made, on and after the commencement of the Securities Laws (Second Amendment) Act, 1999, (i.e., after 16th December 1999), under these regulations may prefer an appeal to Securities Appellate Tribunal having jurisdiction in the matter.
The stock brokers are not supposed to deal with those sub-brokers who are not registered with SEBI. Therefore you are requested to advise your member brokers to execute the agreement with their sub-brokers and collect the requisite fees to be forwarded to SEBI on an urgent basis.
Stock exchanges in the country have amended their rules/Articles of Association to provide for non-eligibility of a person to offer himself as a candidate for being a President/Vice President if he has been so elected on two consecutive occasions earlier.
This has reference to the discussions at the Presidents/ED’s meeting of the stock exchanges with Chairman, SEBI on 24.11. 93. It may be recalled that it was agreed during that meeting that the base capital norm enumerated in the capital adequacy norms circulated by SEBI will be fulfilled by 10.12.93.
As the process of rounding off to the nearer multiple of 100 may result in the actual allotment being higher than the securities offered, it would be necessary to allow a 10% margin i.e. the final allotment may be higher upto 110% of the size of the actual offering.
In case of sales on behalf of clients, Member broker shall be at liberty to close out the contract by effecting purchases if the client fails to deliver the securities sold with valid transfer documents within 48 hours of the contract note having been delivered
In regard to receipt of information from companies, you may devise standard written procedures for the receipt, processing and dissemination of such information to members of your exchange. The procedures may also incorporate a time frame.
Please refer to our letter No.SMD/SED/0012/92, dated December 31, 1992 regarding the aforesaid subject. In this regard, I draw your attention to the Circular No. F1/5/SE/83, of Govt of India, Ministry of Finance, Department of Economic Affairs
This has reference to SEBI’s letter No. SMD-I/11087/92 dated 4th November, 1992. On receiving the comments from various stock exchanges on the norms circulated by us it has been decided that the norms as set out in the annexure shall be made applicable to the stock brokers in all the stock exchanges.
Statements made about the performance or activities of the Portfolio Manager in the absence of necessary explanatory or qualifying statements, which may give an exaggerated picture of the performance or activities of the Portfolio Manager, than what it really is.
