SEBI notifications

Structured Database as Per SEBI (PIT) Regulations

SEBI - Structured Database as Per SEBI (Prohibition of Insider Trading) Regulations, 2015 i.e. SEBI (PIT) Regulations REQUIREMENT TO MAINTAIN STRUCTURED DATABASE: The requirement to maintain structured digital database under Regulation 3(5), containing the names of such persons or entities with whom Unpublished Price Sensitive Information (UPSI)...

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Important updates of MCA, SEBI, BSE, NSE & RBI – October, 2021

SEBI - Important updates of MCA, SEBI, Stock Exchange(s) and RBI on Corporate Sector Edition – October, 2021 The corporate sector is undergoing tremendous changes. We are addressing amendments by regulatory authorities on daily basis. This edition gives an information of all regulatory updates by regulatory bodies introduced during the mon...

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Updates of MCA, SEBI, & RBI for the month of October 2021

SEBI - Updates of the Ministry of Corporate Affairs (MCA) Circulars ♦ Relaxation in payment of Additional Fees in case of delay in filing Form 8 (LLP): General Circular No. 16/2021 dated 26th October, 2021 The Ministry of Corporate Affairs (MCA) vide its General Circular No. 16/2021 dated 26th October, 2021 has provided relaxation in paying Ad...

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Clause by Clause Analysis of Powers of SEBI

SEBI - This article is a clause by clause analysis of the powers of the SEBI/Board. A preamble to a statute is a preliminary statement of the reasons which have made the passing of the statute. But the preamble of SEBI Act, 1992 is translated into function of Board under sub section (1) of section 11 of SEBI Act, 1992 (Act)....

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Cyber Security & Cyber Resilience framework for Stock Brokers/Depository Participants

SEBI - Cyber Security & Cyber Resilience framework for Stock Brokers/Depository Participants Stock brokers and depository participants perform significant functions in providing services to holders of securities. Thus, there is a need for maintaining robust cyber security and cyber resilience framework to protect the integrity of data an...

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Consultation paper on protection of public equity shareholders in case of listed companies undergoing CIRP

SEBI - Consultation Paper Framework for protection of interest of public equity shareholders in case of listed companies undergoing Corporate Insolvency Resolution Process (CIRP) under the Insolvency and Bankruptcy Code (IBC)...

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Submission of information pertaining to ‘Unclaimed Non-convertible Securities’

SEBI - Listed entities are advised to take note of the below notice inter alia advising regarding Submission of information pertaining to ‘Unclaimed Non-convertible Securities’ as on August 31, 2022, as per format given in the attached notice. The aforementioned information is to be submitted to the email ids mentioned in the attached notice...

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SEBI cautions Intending Buyers Against Dealing with Properties of PACL

SEBI - The properties of PACL Ltd. seized by CBI and made available to the Committee are listed on the Committee’s websites namely, sebipaclauctionl.com and www.sebipaclproperties.com....

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ICSI Suggested Format of Compliance Certificate under SEBI ICDR Regulations

SEBI - SUGGESTED FORMAT  COMPLIANCE CERTIFICATE (Pursuant to Regulation 163(2), Part III of Chapter V of the SEBI (Issue of Capital and  Disclosure Requirements) Regulations 2018 including any amendment/modification thereof) To The Board of Directors ___________________ (Name of the Company) ____________________ (Address) I/We___________ , Pr...

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Review of determination of Offer Price in case of disinvestment of PSU Companies

SEBI - The objective of this consultation paper on Review of determination of Offer Price in case of disinvestment of PSU Companies is to seek comments from the public on the proposal to relax certain provision with regard to determination of open offer price in case of divestment of Public Sector Undertaking companies by the Central Government ...

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Sebi Bans 14 Entities In Lux Industries Insider Trading Case

In Re Udit Todi & 13 Others (Securities and Exchange Board of India) - In Re Udit Todi & 13 Others (Securities and Exchange Board of India)  Capital markets regulator Sebi on Monday barred 14 entities for indulging in insider trading and ordered impounding ill-gotten gains of Rs 2.94 crore in the matter of Lux Industries Ltd. FULL TEXT OF THE ORDER OF SECURITIES A...

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HC directs Advance ruling authorities to answer specific questions asked by Appellant

Kasturba Health Society Vs Union of India (Bombay High Court) - Kasturba Health Society Vs Union of India (Bombay High Court) On going through the impugned orders challenged here, we find that these orders do not answer the basic question raised by the petitioner-society. The question raised by the petitioner-society was as to whether or not, the petitioner-soci...

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SEBI Imposes Penalty for not complying with summonses

In re Dwitiya Trading Limited (SEBI) - In re Dwitiya Trading Limited (SEBI) The conduct of the Noticee in not paying heed to the summonses issued by SEBI and resultant non-cooperation with the process of investigation cannot be taken lightly. The SEBI Act grants powers of investigation and collection of information/documents for the purp...

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SEBI imposes penalty for alleged manipulative trades on RIL, Mukesh Ambani & 2 Other entities

In re Reliance Industries Ltd (SEBI) - In re Reliance Industries Ltd (SEBI) It was observed by RIL has entered into a scheme of manipulative trades in respect of the sale of 5% of RIL stake in RPL. However, before undertaking sale transactions in the Cash Segment, RIL fraudulently booked large short positions in the RPL November Futures ...

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Extension of timeline for implementation of Standardized industry classification by CRAs

Circular No. SEBI/HO/DDHS/DDHS-RACPOD2/P/CIR/2022/168 - (01/12/2022) - Representation has been received from CRAs requesting for extension of the date of applicability of the standardized industry classification. In view of representation received from CRAs, it has been decided to extend the date of applicability of the standardized industry classification till Decembe...

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Inclusion of Equity Exchange Traded Funds as list of eligible securities under Margin Trading Facility

Circular No. SEBI/HO/MRD/MRD-PoD-3/P/CIR/2022/166 - (30/11/2022) - SEBI allows units of Equity Exchange Traded Funds (Equity ETFs) categorized as Group-I security as per provisions of SEBI Circular MRD/DoP/SE/Cir-07/2005 dated February 23, 2005 as an eligible security for MTF as well as an eligible collateral under MTF....

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Net Settlement of Cash and F&O segment upon expiry of stock derivatives

Circular No. SEBI/HO/MRD2_DCAP/P/CIR/2022/165 - (30/11/2022) - Obligations arising out of cash segment settlement and physical settlement of F&O segment, upon expiry of stock derivatives, shall be settled on net basis as against current approach of settling such obligations separately....

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Review of timelines for listing of securities issued on a private placement basis 

Circular No. SEBI/HO/DDHS/DDHS_Div1/P/CIR/2022/167 - (30/11/2022) - In order to bring about clarity and standardization in the process of issuance and listing of such securities, on private placement basis, a list of the steps involved, pre-listing and post-listing, and relevant timelines have been detailed, both through Electronic Book Provider (EBP) platform and o...

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Introduction of credit risk based single issuer limit for investment by mutual fund schemes

Circular No. SEBI/HO/IMD/IMD-1 DOF2/P/CIR/2022/164 - (29/11/2022) - Mutual fund scheme shall not invest more than 10% of its NAV in debt instruments, issued by a single issuer, comprising money market securities and non-money market securities rated investment grade or above by a Credit Rating Agency (CRA)....

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Recent Posts in "SEBI notifications"

Extension of timeline for implementation of Standardized industry classification by CRAs

Circular No. SEBI/HO/DDHS/DDHS-RACPOD2/P/CIR/2022/168 01/12/2022

Representation has been received from CRAs requesting for extension of the date of applicability of the standardized industry classification. In view of representation received from CRAs, it has been decided to extend the date of applicability of the standardized industry classification till December 15, 2022....

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Inclusion of Equity Exchange Traded Funds as list of eligible securities under Margin Trading Facility

Circular No. SEBI/HO/MRD/MRD-PoD-3/P/CIR/2022/166 30/11/2022

SEBI allows units of Equity Exchange Traded Funds (Equity ETFs) categorized as Group-I security as per provisions of SEBI Circular MRD/DoP/SE/Cir-07/2005 dated February 23, 2005 as an eligible security for MTF as well as an eligible collateral under MTF....

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Net Settlement of Cash and F&O segment upon expiry of stock derivatives

Circular No. SEBI/HO/MRD2_DCAP/P/CIR/2022/165 30/11/2022

Obligations arising out of cash segment settlement and physical settlement of F&O segment, upon expiry of stock derivatives, shall be settled on net basis as against current approach of settling such obligations separately....

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Review of timelines for listing of securities issued on a private placement basis 

Circular No. SEBI/HO/DDHS/DDHS_Div1/P/CIR/2022/167 30/11/2022

In order to bring about clarity and standardization in the process of issuance and listing of such securities, on private placement basis, a list of the steps involved, pre-listing and post-listing, and relevant timelines have been detailed, both through Electronic Book Provider (EBP) platform and otherwise....

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Introduction of credit risk based single issuer limit for investment by mutual fund schemes

Circular No. SEBI/HO/IMD/IMD-1 DOF2/P/CIR/2022/164 29/11/2022

Mutual fund scheme shall not invest more than 10% of its NAV in debt instruments, issued by a single issuer, comprising money market securities and non-money market securities rated investment grade or above by a Credit Rating Agency (CRA)....

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SEBI: Procedure for seeking prior approval for change in control

 Circular No. SEBI/HO/MIRSD/ MIRSD-PoD-2/P/CIR/2022/163 28/11/2022

In case the incumbent is a registered stock broker, clearing member, depository participant, in addition to the above, it shall obtain approval /NOC from all the stock exchanges/clearing corporations/depositories, where the incumbent is a member/depository participant and submit self-attested copy of the same to SEBI....

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Timelines for transfer of dividend and redemption proceeds to unitholders

Circular No. SEBI/HO/IMD/IMD-I DOF2/P/CIR/2022/161 25/11/2022

The payment of dividend to the unitholders shall be made within seven working days from the record date. The transfer of redemption or repurchase proceeds to the unitholders shall be made within three working days from the date of redemption or repurchase....

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Extension of timelines for implementation of SEBI circulars

SEBI/HO/MIRSD/DoP/P/CIR/2022/162 25/11/2022

Securities and Exchange Board of India Circular No. SEBI/HO/MIRSD/DoP/P/CIR/2022/162 Dated November 25, 2022 To, All Depositories All recognized Stock Exchanges and Clearing Corporations Madam / Sir, Sub: Extension of timelines for implementation of SEBI circulars SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2022/137 and SEBI/HO/MIRSD/ DoP/P/CIR/2022...

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Framework to address ‘technical glitches’ in Stock Brokers’ Electronic Trading Systems

Circulars No. SEBI/HO/MIRSD/TPD-1/P/CIR/2022/160 25/11/2022

Rapid technological developments have increased the ease of electronic trading in securities markets. Technology related interruptions and glitches (technical glitches) and their impact on the investors’ opportunity to trade constitutes major technology related risk....

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Disclosures & compliance requirements for Issuance & Listing of Municipal Debt Securities -Green debt security

Circular No. SEBI/HO/DDHS/DDHS_Div1 /P/CI R/2022/158 24/11/2022

Disclosures and compliance requirements for Issuance and Listing of Municipal  Debt Securities under SEBI (Issue and Listing of Municipal Debt Securities) Regulations, 2015, which fall within the definition of green debt security...

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