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In exercise of the powers conferred under Section 11 of the SEBI Act, 1992 as also in implementation of the SEBI (Bankers to an Issue) Rules and Regulations, 1994, all bankers to an issue are hereby advised to affix date stamp alongwith a continuous serial number generated by an automatic numbering machine
It has therefore been decided that in cases of Company Objection due to fake/forged/stolen shares, the Clearing House/Clearing Corporation may compulsorily put the shares for Auction, and if necessary Close-out, and no opportunity for rectification may be given to the Introducing Broker
SEBI : Compliance Test Formats
This procedure shall be implemented immediately from the month of September 1997 and the Monthly status report should be sent before 5th of every month. These reports shall be sent by different Stock Exchanges to respective Regional Offices of SEBI.
The successful applicants of new issues will be issued share certificates / instruments for eligible number of shares in tradeable lots. The minimum tradeable lot, in case of shares of face value of Rs. 10/- each, shall at the option of the issuer/offeror, be fixed on the basis of offer price
This is with reference to the reporting of complaints against Sub brokers by the stock exchanges. For monitoring the complaints redressal mechanism more effectively, has been decided that stock exchanges shall send a Monthly Status Report of Complaints against Sub brokers in enclosed format instead of sending replies on case to case basis.
It has been represented to SEBI that a number of members, particularly those doing jobbing and arbitrage business are finding it difficult to maintain the incremental base minimum capital in the form prescribed by SEBI.
With regard to the order of the Hon’ble High Court of Delhi dated 13.06.97, we have been provided with a list of 40 CRB Group Companies by the Reserve Bank of India, which are coming within the purview of said order.
After taking above mentioned measures, details of such members should also be communicated to SEBI on an URGENT basis. List of 75 group companies of CRB is enclosed.
Securities and Exchange Board of India (Mutual Funds) Regulations, 1996 have been amended which was notified on April 15, 1997. A copy of the notification* is enclosed for your information
