SEBI Launches Settlement Helpdesk to Simplify Filing of Settlement Applications

SEBI has launched a Settlement Helpdesk Facility to assist applicants and prospective applicants in understanding and complying with the procedural requirements for filing settlement applications under the SEBI (Settlement Proceedings) Regulations, 2018. The Helpdesk is available to eligible persons or their authorised representatives seeking settlement of specified proceedings and provides assistance in filing settlement applications, computing the Indicative Amount under the Settlement Regulations, and checking the status of pending settlement applications. Requests must be submitted through the dedicated email ID in the prescribed format and should relate specifically to the permitted areas of assistance. SEBI aims to respond to requests within five working days, although vague queries may not be entertained. The regulator has clarified that all guidance provided through the Helpdesk is purely informal, non-binding, and facilitative, and does not constitute legal or regulatory advice, interpretation, assurance, or opinion of SEBI. The initiative is intended to simplify and improve the settlement application process.

Securities and Exchange Board of India

PR No. 38/2026

SETTLEMENT HELPDESK FACILITY

SEBI has set up a Settlement Helpdesk Facility to facilitate applicants or prospective applicants in understanding or complying with the procedural requirements for filing settlement applications and aspects related thereto.

The Helpdesk will address queries related to the settlement process and will guide applicants on the procedural steps involved. This facility is intended to help applicants for filing of the settlement applications; compute Indicative Amount as per the SEBI (Settlement Proceedings) Regulations, 2018; and inquire about status of pending Settlement Applications.

A “User Manual for Settlement Helpdesk Facility” has been issued by SEBI which is available on SEBI website at:

https://www.sebi.gov.in/sebi_data/faqfiles/jun-2026/1782726476068.pdf

Interested applicants may write to the Helpdesk with their queries, as per the process given in the User Manual.

This initiative is part of SEBI’s efforts to bring ease in filing and availing settlement of specified proceedings.

Mumbai
July 01, 2026

USER MANUAL FOR SETTLEMENT HELPDESK FACILITY

1. Objective:

1.1. The objective of this Settlement Helpdesk Facility (“Helpdesk”) is to facilitate applicants or prospective applicants in understanding or complying with the procedural requirements for filing settlement applications and aspects related thereto.

1.2. The Scope, Process, Nature and Limitations for the functioning of the Helpdesk are given below.

2. Scope:

2.1. The Helpdesk service can be availed by any person or their duly Authorised Representative, proposing to seek settlement of specified proceedings as defined under Regulation 2(1)(f) of the SEBI (Settlement Proceedings) Regulations, 2018 (“Settlement Regulations”).

2.2. Assistance shall be provided for the following:

a. Filing of the settlement applications;

b. To compute Indicative Amount as per the Settlement Regulations; and

c. Status of pending Settlement Applications

3. Process:

3.1. Any person seeking assistance shall submit their request along with the details mentioned in the Form as given in the Annexure, at the dedicated email ID: settle-help@sebi.gov.in.

3.2. The request should be specific to the aspects mentioned in paragraph 2.2. SEBI reserves its right not to respond to the request, if, in its opinion the request sought is vague.

3.3. The request for assistance shall be endeavoured to be responded within 5 working days at the contact details provided by the requestor.

4. Nature and limitations of assistance:

4.1. The assistance provided through the Helpdesk is purely informal, non­binding, and facilitative in nature and does not constitute, and shall not be construed as, legal advice, regulatory advice, assurance, confirmation, interpretation, or opinion of SEBI or any of its officers and shall not restrict, limit, or prejudice SEBI’s powers under the any Act, rules, regulations, circulars, directions, or any applicable law.

4.2. No guidance, clarification, computation, communication, or response issued by the Helpdesk shall create any right, benefit, expectation, estoppel, legitimate reliance, or defence in favour of any person. SEBI shall not be liable for any loss, consequence, or prejudice arising out of such reliance.

Annexure

FORM TO SEEK HELPDESK ASSISTANCE

1. Applicant / Prospective Applicant Details:

i. Name of applicant / entity:

ii. PAN / Registration No. (if any):

iii.      Category of applicant (individual / intermediary / listed entity / others):

iv. Contact details:

1. Mobile number:

2. Email ID:

v. Contact details of Authorised Person of the Applicant (if any) along with Authorisation Letter/ Board Resolution, wherever applicable:

1. Mobile number:

2. Email ID:

2. Whether Show Cause Notice issued (SCN)? (Yes/No), if yes then provide the following:

a. SCN number;

b. Date of SCN; and

c. Name of SCN issuing Authority

d. Name of the matter

3. Specific Assistance Sought for: (Indicate as applicable)