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Annual Compliance calendar for Listed Companies for FY 2020-21 (3 SEBI Regulations)

Annual Compliance calendar for Listed Companies for the Financial Year (FY) 2020-21 [Under the SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015]  [Under SEBI (Substantial Acquisition of Shares and Takeover) Regulations, 2011] [Under SEBI (Depositories and Participants) Regulations, 2018]  Sr. No. Compliance Regula...

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Posted Under: SEBI |

SEBI relaxes timelines for regulatory compliance

The Security and Exchange Board of India (SEBI) had notified the Relaxation in timelines for compliance with regulatory requirements owing to the COVID-19 pandemic. SEBI through a notification made on 1st December 2020 had relaxed the compliance requirements for depository participants, trading members, clearing corporations, as wel...

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Posted Under: SEBI |

Brief Executive Summary of SEBI (ILDS) Regulations, 2008

A business may require funds from time to time to expand and/or diversify its operations. It may resort to a variety of financial resources, initially broken into two broad categories, debt and equity. 'Debt' involves borrowing money to be repaid, plus interest, while "equity" involves raising money by selling interests in the company....

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Posted Under: SEBI |

Consequences of non-payment of outstanding Annual Listing Fees for FY 2020-21 | Listed Companies – Be Alert !!!!!

NSE and BSE both vide Circular Ref No: NSE/CML/2020/53 and notice no. 20201106-39 dated 06.11.2020, respectively has issued circular stating Action(s) to be initiated against listed companies for non-payment of outstanding Annual Listing Fees (“ALF”) for Financial Year 2020-21....

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Posted Under: SEBI |

Rights issue of units by an unlisted Infrastructure Investment Trust (InvIT)

Chapter VIA of the of SEBI (Infrastructure Investment Trusts) Regulations, 2014 (InvIT Regulations) provides the framework for private placement of units by InvITs which are not eligible to be listed. In exercise of powers conferred under Section 11(1) of the Securities and Exchange Board of India Act, 1992 and Regulation 33 of the InvIT ...

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Posted Under: SEBI |

Compliances for Listed Companies with Respect to Companies Came Under the Ambit of IBC, 2016

The Companies which are listed on stock exchanges has to mandatorily comply with the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations 2018 or SEBI (LODR). These companies needs to comply with the Quarterly/half yearly/annual and general compliances under SEBI Listing Regulations (LODR), ...

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Posted Under: SEBI |

Amazon (Gopal Subramanium) vs. Reliance/Future Group (Harish Salve): An Intriguing Battle of Market Share & Nerves

Amazon (Gopal Subramanium) vs. Reliance/Future Group (Harish Salve): An Intriguing Battle of Market Share & Nerves All of us are aware of the much talked about announcement of the acquisition of the Kishor Biyani’s Future Group Retail Business including Big Bazar by the Mukesh Ambani’s Reliance Industries (RIL) for a c...

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Posted Under: SEBI |

Guidelines for issue of Units by an Unlisted Infrastructure Investment Trust (InvIT)

1. Relevant Circular – SEBI Circular SEBI/HO/DDHS/DDHS/CIR/P/2020/223 2. Relevant Date – 4th November 2020 3. Relevant Chapter – Chapter VIA 4. Relevant Regulation SEBI (Infrastructure Investment Trusts) Regulations, 2014 5. Purpose of the Circular –  To enable Unlisted InvITs to raise further funds through right ...

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Posted Under: SEBI |

Analysis of SEBI’s Settlement Scheme 2020

Under SEBI’s Settlement Scheme 2020, the entities who have executed trade reversals on the stock options segment of BSE during the period from April 1, 2014 to September 30, 2015 against whom any proceedings are pending are eligible to avail the one time settlement opportunity....

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Posted Under: SEBI |

Portfolio Managers – Frequently Asked Questions

A portfolio manager is a body corporate, which, pursuant to a contract with a client, advises or directs or undertakes on behalf of the client (whether as a discretionary portfolio manager or otherwise) the management or administration of a portfolio of securities or goods or funds of the client....

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Posted Under: SEBI |