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New Rules of (Portfolio Management System) PMS and Its Impact

The rules of (Portfolio Management System) PMS make the industry more transparent but at the same time, it creates a problem for industry players.  IFA Industry has been under pressure from the day the expense ratio of MF starting coming down followed with Direct Plans. Well, I am speaking for the ones who are not […]...

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Posted Under: SEBI |

An Overview about limited review report

In this write up we will understand about Limited Review Report which is mainly applicable on listed entities and other entities whose accounts are to be consolidated with listed entities.  Listed companies are required to conduct limited review through statutory auditors before submitting it to SEBI and before publishing unaudited fin...

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Posted Under: SEBI |

SEBI Alternative Investment Fund Guidelines– Enhances Transparency & Streamline Disclosure Standards

Alternative Investment Fund is defined and described in detail under Regulation 2(1)(b) of AIF Regulations. It states that AIF is a private investment vehicle, collecting funds from either domestic or foreign investor, for the purpose of making investments as per pre-defined investment policy for the benefits of the investors...

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Posted Under: SEBI |

Streamlining of Fines for Non–Compliance of LODR & SEBI SoP

Article on SEBI’s Circular dated January 22, 2020 on Streamlining of Fines for Non–Compliance of LODR by listed entities & Standard Operating Procedure (SoP) for Suspension and Revocation of Trading of Specified Securities A. BACKGROUND: 1. As per SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 (“LODR”)...

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Posted Under: SEBI |

SEBI Sop Gives Meaningful Rights To Promoters

SEBI issued circular on 22nd January, 2020 and revised the existing Standard Operating Procedure (SoP) to incorporate the amendments to Listing Regulations and streamline the SoP for dealing with non-compliance. Further, the circular says that listed entities are required to inform their promoters about this circular. Read- SEBI SOP for s...

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Posted Under: SEBI |

Digest on Consultation Paper on RIA Regulation by SEBI

HIGHLIGHTS OF SEBI’S CONSULTATION PAPERS ON RIA REGULATION IA Regulations were notified on January 21, 2013. The object of the IA Regulations, was to lay the framework for independent financial advisers. SEBI had issued a consultation paper on October 07, 2016 seeking public comments on the clarifications/amendments to IA Regulations. A...

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Posted Under: SEBI |

Analysis of New SEBI SOP Circular vis-a-vis Existing Circular

Existing SOP Circular covers 18 provisions of Listing Regulations for which penal provisions are applicable whereas New SOP Circular covers 28 provisions of Listing regulations for which penal provisions are applicable....

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Posted Under: SEBI |

Streamlining the Process of Right Issue SEBI Circular 22.01.2020

Amendments in the Process of Right Issue in case of Listed Companies SEBI Circular: Dated 22.01.2020 Purpose: To Streamlining the process of Right Issue Amendments in Following Regulations: – (a) SEBI (ICDR) Regulations, 2018 & (b) SEBI (LODR) Regulations 2015 Followings changes are made in the Right Issue Process in case of Lis...

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Posted Under: SEBI |

New Exit Norms for statutory auditors from listed entities and their material subsidiaries

The Securities and Exchange Board of India (SEBI) on October 18, 2019 proposed to tighten disclosure norms with respect to resignation of statutory auditors in listed companies. SEBI has tightened its norms with respect to resignation of Auditors from listed companies and their material subsidiaries mainly due to:- ⇒ Resignation of Audi...

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Posted Under: SEBI |

SEBI: Procedure to Register as Registrar & Share Transfer Agent

Registration as Registrar to an Issue and Share transfer Agent 1. Application to be made in Form A 2. Application to be accompanies by Non refundable Fee of Rs. 20,000/- . – Refer Note Number 1 3. Types of Application: a) Category I: to carry on the activities as a registrar to an issue and […]...

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Posted Under: SEBI |