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Analysis of amended SEBI Law of Insider Trading for Window Closure

To ensure that the regulatory framework dealing with insider trading in India is further strengthened, SEBI had notified SEBI (Prohibition of Insider Trading) Regulations, 2015 [PTI Regulations] in place of an earlier Regulations....

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Posted Under: SEBI |

Innovators Growth Platform – Good Opportunity for Startup Listing

SEBI has come up with revised version along with relax norms for listing of new-age venture start-ups operating in e-commerce, data analytics, bio-technology and nano-technology sectors to raise funds and get their shares traded on stock exchanges. The name of platform is changed from 'Institutional Trading Platform' to 'Innovators Growth...

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Posted Under: SEBI |

Listing Compliance Calendar for Financial Year Ending March, 2019

Article compiles Listing Compliance Calendar For Financial Year Ending March, 2019 including Compliance with respect to Board Meeting for Approval of Financial Results. Nature of compliance include Disclosure of aggregate shareholding of promoters with voting rights as on 31st March,  Corporate Governance Report (XBRL), Statement of Inve...

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Posted Under: SEBI |

Periodic Compliances for a Listed Company For Equity Shares

The Listed entity shall comply with the following compliance under SEBI Listing Regulations 2015:- Quarterly Compliances Half Yearly Compliances Yearly Compliances Event Based Compliances Quarterly Compliances When to comply Regulation reference Timeline For the quarter ended June For the quarter ended September For the quarter ended Dec...

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Posted Under: SEBI |

Implementation of Kotak Committee Recommendations- Getting closer to best Corporate Governance Practices

Capital market regulator Securities and Exchange Board of India (SEBI) has approved sweeping changes to the corporate governance framework for listed companies. The new measures are based on recommendations made by a 25 members committee headed by Mr. Uday Kotak, Executive Vice Chairman and Managing Director of Kotak Mahindra Bank. The K...

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Posted Under: SEBI |

Urgent attention requires over Demat problem

Small investors of 50-60 years ago, who then had bought shares after paying all due taxes every year besides controlling their so many needs[ keeping in mind nation building ] ignoring other investment option such as Land / Gold / FD etc. on assurance of our political / Economic / Stock Exchange experts that this […]...

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Posted Under: SEBI |

Sensitization: The key to implementation of PIT Regulations

CS Ambika Mehrotra Background of the Regulations The strong and decisive steps taken by the Securities and Exchange Board of India with respect to the Prohibition of Insider Trading Regulations have been quite a matter of concern for last couple of months. The modifications in the existing SEBI (Prohibition of Insider Trading) Regulation...

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Posted Under: SEBI |

Green Shoe Option (GSO), Price stabilization through GSO

Public issue of shares (also knows as IPO) is a very common way of raising funds by a corporate entity. However many a times it has been seen that after public issue of shares the listed price of securities falls below issue price which creates panic in the market and discourages the investors to put […]...

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Posted Under: SEBI |

Policy for preservation of Documents under Regulation 9 of SEBI (LODR) Regulations, 2015

Regulation 9 of the SEBI (LODR) Regulations, 2015 deals with the documents which a listed entity needs to keep. Nowadays, maintaining records is very important and prior to this provision there was a lack of proper  mechanism of documents management. However, this provision is a step forward in introducing proper document management syst...

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Posted Under: SEBI |

Evolution of Listing Compliance framework for Listed Companies

Evolution of Listing Compliance framework : Analysis of Amendments to the Listing Regulations, SEBI Circulars & Notifications & Stock Exchange directives as applicable for Equity Listed Companies The landscape of listing compliance underwent a change for the better with introduction of the SEBI (Listing Obligations and Disclosure ...

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Posted Under: SEBI |