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Karvy stock broking case: – A fallout of the SEBI Circular

Since last one year, SEBI has brought in a number of new regulations to improve the health of the broking industry. One of the circulars was issued by SEBI on 20th June 2019, which results into fallout of many broker firms, the bigger one is the Karvy....

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Posted Under: SEBI |

Listing of Differential Voting Rights Shares- Superior Voting Rights by tech companies

SEBI Regulations prohibit issuance of shares with superior voting rights by listed companies.  The present regulatory regime dealing with issuance of DVR shares include the following: SEBI Listing Regulations, 2015:Reg 41(3) prohibits a listed company from issuance of shares which may confer on any person superior rights as to voting or...

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Posted Under: SEBI |

Dematerialisation of Securities

What is dematerialisation and its benefits: Dematerialization (Commonly known as ‘Demat’) signifies conversion of a share certificate from its present physical form to electronic form for the same number of holding. It offers scope for paperless trading through state-of-the-art technology, whereby share transactions and transf...

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Posted Under: SEBI |

Quarterly/Half Yearly/Annual Compliances under SEBI Listing Regulations 2015

The listed entity shall submit a compliance certificate to the exchange, duly signed by both that is by the compliance officer of the listed entity and the authorized representative of the share transfer agent, wherever applicable, within one month of end of each half of the financial year, certifying maintaining physical & electronic tra...

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Posted Under: SEBI |

Revisit Compliance under SEBI (LODR) Regulations, 2015 by 1st April 2020

Law being dynamic in nature can never be static. With new amendments, new compliances needs to be ensured. Keeping these in mind the following are the checklist that needs to be abided by the Listed Entities by 1st April 2020. Reg  No. Provision Views 17 (1) (A) The Board of directors of the top 1000 […]...

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Posted Under: SEBI |

Stock Exchange Compliance for Listed Companies

The Companies which are Listed on the Stock Exchange(s) has required to be comply with the various SEBI Regulations. In this Article we will discuss about the Quarterly/Half Yearly/Annually and General Compliance under the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015, Securitie...

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Posted Under: SEBI |

SEBI: Enhanced due diligence for dematerialization of Physical Securities

SEBI has, vide Circular dated 5th November, 2019, directed the Depositories and the Listed Companies / Registrar and Transfer Agents (RTA) to implement a due diligence process for processing of dematerialization request in respect of the physical shares....

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Posted Under: SEBI |

FAQs on SEBI (PIT) Regulations 2015

Whether requirement of pre-clearance is applicable for exercise of employee stock options? Whether trading in ADRs and GDRs by employees of Indian companies who are foreign nationals is covered under provisions of PIT Regulations on code of conduct?...

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Posted Under: SEBI |

Summary of filings to Stock Exchanges under LODR for entity which listed its Equity Shares & NCDs / NCRPS

Summary of filings required to be made to Stock Exchanges under LODR for listed entity which has listed its specified securities, and either non-convertible debt securities (NCDs) or non-convertible redeemable preference shares (NCRPS) or both. Description Regulation No. Particulars Share Transfer Agent Regulation 7 (3) Compliance Certifi...

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Posted Under: SEBI |

Why do we requires a Demat Account…? And what is a trading account..?

In this article we will understand the demat account in detail and also the Comparison between a Demat and trading account. We are sure that, all your queries in connection with this topic will be resolved after reading this article. Demat Account– A demat account is an account in electronic format in which the investors […]...

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Posted Under: SEBI |