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Automation of Continual Disclosures under Insider Trading Regulation

 SEBI Circular, SEBI/HO/ISD/ISD/CIR/P/2020/168 dated September 09, 2020:  Automation of Continual Disclosures under Regulation 7(2) of SEBI (Prohibition of Insider Trading) Regulations, 2015 – System driven disclosures:  Purpose: Purpose of this Circular is to automates the disclosure requirements under 7(2) of SEBI (Prohibition ...

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Posted Under: SEBI |

Summary of SEBI Circular titled ‘Guidelines for Investment Advisers’

So, finally a long wait is over as SEBI has come out with the Circular just a Week before the applicability of the new regulations. A Circular was expected from SEBI since the notification of new IA Regulations on 3rd July, 2020 to provide clarifications on certain points. Hence, SEBI has issued the Circular No. […]...

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Posted Under: SEBI |

Excerpts from SEBI Investment Advisers Guidelines

SEBI has come out with detailed guidelines for Investment Advisers on September 23, 2020. Although the guidelines are more or less on the expected lines as most of the terms were already published in 4th consultation paper, SEBI has, vide this guidelines, provided detailed modus operandi as to client level segregation, transition from ind...

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Posted Under: SEBI |

Britannia Industries settles Alleged due diligence Case with SEBI

The Capital Market Regulator on 19th Sept 2020 has settled a case related to default in due diligence in the Britannia Industries and passed a final order to pay over Rs. 46 lakh towards settlement charge to markets regulator SEBI to resolve such alleged failure to carry out due diligence before giving effect to “Transmission of sha...

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Posted Under: SEBI |

NSE EMERGE: Investment opportunities in emerging companies

One revisits good schemes introduced some time back and forgotten due to a sudden change of fortune in the economy, temporarily. Let me enthuse you with some gems under the aegis of NSE, a world-famous investment platform to benefit all investment-related stakeholders. Let me introduce you to NSE – Emerge which is a credible and [&helli...

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Posted Under: SEBI |

Revision of NAV rules for mutual funds

The Securities and Exchange Board of India (SEBI) has ordered mutual funds to apply the Net Asset Value (NAV) rules consistently across all schemes upon the realisation of funds. The Capital market regulator has also stiffened rules on the processes that fund managers will be required to follow by buying shares. Such rules shall be ef...

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Posted Under: SEBI |

FAQs on the SEBI Settlement Scheme, 2020

Frequently Asked Questions (FAQs) on the SEBI Settlement Scheme, 2020 One-time opportunity for settlement to the entities that have executed reversal trades in the stock options segment of BSE during the period from April 1, 2014 to September 30, 2015 against whom any proceedings are pending. Scheme issued by the Securities Exchange Board...

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Posted Under: SEBI |

SEBI Settlement Scheme, 2020 – FAQs & answers

The Securities Exchange Board of India has introduced a Settlement Scheme, 2020 vide Public Notice dated July 27, 2020, in terms of Regulation 26 of the SEBI (Settlement Proceedings) Regulations 2018. The purpose of the Scheme is to provide a one-time opportunity for settlement to the entities that have executed reversal trades in the sto...

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Posted Under: SEBI |

Recent Amendments in Multi CAP Funds

S.E.B.I being the regulator of CAPITAL MARKET issued a circular dated 11-September-2020 brought the change in the MULTI-CAP SCHEME of Mutual funds. Let us know what does multi-cap scheme is all about and the new changes introduced regarding this scheme. Definition of Large Cap, Mid Cap and Small Cap Companies : SEBI has, vide its [&hellip...

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Posted Under: SEBI |

Changes/ Amendments to SEBI (Prohibition of Insider Trading) Regulations, 2015

Background: – SEBI has vide Circular no. SEBI/LAD-NRO/GN/2020/23 dated 17th July 2020 and circular No. SEBI/HO/ISD/ISD/CIR/P/2020/135 dated 23rd July 2020, notified and amended certain regulations as well as certain clauses of the Schedules and Formats of the SEBI (Prohibition of Insider Trading) Regulations, 2015. (PIT Regulations...

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