CS Brijesh Mathur

In this Quick referencer  Author has has made an effort to summaries all the Circulars issued by SEBI  from 01st January 2011 to 10th August 2011.Link to Download the Quick Referencer is given at the bottom of the post. Author has covered circulars on following topics in this compilation.


1. Modifications to Client Code Post Trade Execution

2. Introduction of Derivative Contracts on Foreign Stock Indices

3. Reporting of Offshore Derivative Instruments (Odis)/ Participatory Notes (PNS) Activity

4. Establishment of Connectivity with both Depositories NSDL and CDSL

5. Companies Eligible for Shifting From Trade for Trade Settlement (TFTS)  to Normal Rolling Settlement

6. Arbitration Mechanism of Stock Exchanges – Applicability of the Provisions of the Limitation Act, 1963

7. Futures on 91-Day Government of India Treasury-Bill (T–Bill)

8. Allocation of Government Debt Long Term & Corporate Debt – Old Investment  limits to FIIs

9.    Usage of Load Account

10. Listing Agreement for Securitized Debt Instruments

11. Unauthenticated News Circulated By SEBI Registered Market Intermediaries  through Various Modes of Communication

12. Dissemination of Further Information about FII Activity – Discontinuance of   Reporting

13. FII Investment in Corporate Bonds Infra Long Term Category Limitation  Period for Filing an Arbitration Reference

14. Limitation Period for Filing an Arbitration Reference

15. Review of Annual Issuers’ Charges

16. Applications Supported By Blocked Amount (ASBA) Facility

17. Clarification on Circular Dated December 3, 2009 on ‘Dealings between a client and a Stock Broker

18. Self Clearing Member in the Currency Derivatives Segment

19. Adjustment of Differential Pricing Amount at the Time of Application for  Allotment of Specified Securities

20. Option to Hold Units in Demat Form

21. Liquidity Enhancement Schemes for Illiquid Securities in Equity Derivatives  Segment

22. Periodical Report – Grant of Prior Approval to Members of Stock Exchanges/ Sub-Brokers

23. Processing of Investor Complaints against Listed Companies in SEBI

24. Complaints Redress System (Scores)

25. Redemption of Indian Depository Receipts (IDRs) Into Underlying Equity Shares

26. Pre- Funded Instruments / Electronic Fund Transfers

27. Standardisation of Rating Symbols and Definitions

28. Change of Name by Listed Companies

29. Modification to Investor Protection Fund (IPF)/ Customer Protection Fund (CPF)  Guidelines

30. Periodical Report- Grant of Prior Approval to Depository Participants

31. Periodical Report- Grant of Prior Approval to Credit Rating Agencies

32. Periodical Report- Grant of Prior Approval to Merchant Bankers

33. Periodical Report- Grant of Prior Approval to Underwriters

34. Periodical Report- Grant of Prior Approval to Registrars to an Issue and Share  Transfer Agents

35. Shareholding of Promoter / Promoter Group to Be In Dematerialized Mode

36. Periodical Report- Grant of Prior Approval to Bankers to an Issue

37. Periodical Report- Grant of Prior Approval to Debenture Trustees

38. Review of Internet Based Trading (IBT) and Securities Trading Using  Wireless Technology (STWT)

39. Modification of Client Codes of Non-Institutional Trades Executed On  Stock Exchanges (All Segments)

40. Clarification Regarding Admission of Limited Liability Partnerships as Members  of Stock Exchanges

41. Allocation of Government Debt Long Term Limits to FIIs

42. Indicative Portfolio or Yield in Close Ended Debt Oriented Mutual Fund Schemes

43. Revised Procedure for Seeking Prior Approval for Change in Control through  Single Window

44. SMS and E-Mail Alerts to Investors by Stock Exchanges

45. Investment by Foreign Investors in Mutual Fund Schemes

46. Short-Collection/Non-Collection of Client Margins (Derivatives Segments)

Download the Quick Referencer

Quick Referencer – SEBI


CS Brijesh Mathur
Managing Partner B Mathur & Co., Company Secretaries
Mobile No. 9310066825
Web-site: www.bmathurco.in
email-id: brijesh@bmathurco.in
address: 8/3 IInd Floor, WEA Karol Bagh, Delhi-110005

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