SEBI notifications

Checklist on Right Issue of Shares to existing shareholders

SEBI - Finalize the draft letter of offer for issuing equity shares through right issue. No specific format of Letter of offer is prescribed. However letter of offer shall contain offer price, face value of shares, Mode & terms of payment and right to renounce....

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Sebi allows FPIs to invest in REITs, InvIts, AIFs & Corporate Bonds

SEBI - FPIs shall be permitted to acquire NCDs/bonds, which are under default, either fully or partly, in the repayment of principal on maturity or principal installment in the case of an amortising bond. FPIs shall be guided by RBI’s definition of an amortising bond in this regard....

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Debenture Trustees – Frequently Asked Questions (FAQs)

SEBI - A debenture is an instrument of debt executed by the company acknowledging its obligation to repay the sum at a specified rate and also carrying an interest. It is one of the methods of raising the loan capital of the company. A debenture is thus like a certificate of loan or a loan bond evidencing the fact that the company is liable to p...

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Listed Companies to Submit Revised Corporate Governance Report

SEBI - The Bombay Stock Exchange has started issuing Notices to the Listed Companies who submitted Corporate Governance Report for the Quarter ended December, 2014 in old format. Submission of Report in old format considered as non compliance. ...

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FAQs on applicability of SEBI (Research Analysts) Regulations, 2014

SEBI - Frequently Asked Questions (FAQs) on the applicability of SEBI (Research Analysts) Regulations, 2014 SEBI (Research Analysts) Regulations, 2014 (“RA Regulations”) were notified on September 01, 2014 and came into effect from December 01, 2014. The RA Regulations are available on the SEBI website. In order to address the queries of var...

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Framework for Enhanced Market Borrowings by large Corporates

SEBI - 1.1. Government of India in the Union Budget of 2018-19, made the following announcement: “SEBI will also consider mandating, beginning with large Corporates, to meet about one-fourth of their financing needs from the debt market.” 1.2. A series of steps have been taken, over time, by Government in consultation with Regulators, ...

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Consultation Paper on proposed SEBI (Fiduciaries in Securities Market) (Amendment) Regulations

SEBI - The Regulations relating to the issue of capital mainly follow a disclosure based regime and investors rely upon the offer documents and financial statements which are audited/examined/vetted by various fiduciaries such as Chartered Accountant, Company Secretary, Valuer etc. ...

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Consultation paper on measures to enhance efficiency in polling methodology adopted for spot price determination of commodities

SEBI - Consultation paper on measures to enhance efficiency in polling methodology adopted for spot price determination of commodities 1 Objective 1.1 The objective of this consultation paper is to seek comments / views from the public on measures to further enhance efficiency in the polling methodology adopted for determination of spot price fo...

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SEBI Issues List of Defaulter in Payment of Penalty

SEBI - On 25.06.2018 SEBI Issues List Of 1690 Defaulters As On March 31, 2018 For Non-Payment Of Penalty Imposed By SEBI Through Orders Passed upto December 31, 2017. List Contains Name of the Defaulter, Address of the Defaulter, Scrip in which Violation been committed, Amount of Penalty Imposed by SEBI in Rupees and Date of Adjudication [&helli...

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Consultation paper for review of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015

SEBI - 1. Objective: The objective of this consultation paper is to seek comments on the changes proposed in the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 (hereinafter referred as LODR Regulations) with respect to listed companies which have listed its Non-convertible debt securities (NCDs) or Non-convertible redee...

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SEBI extends time limit for RTAs to send letters seeking PAN & bank details

SEBI/HO/MIRSD/DOS3/CIR/P/2018/115 - (16/07/2018) - SEBI, vide circular No. SEBI/HO/MIRSD/DOP1/CIR/P/2018/73 dated April 20,2018, inter-alia, mandated RTAs to send a letter under Registered / Speed post seeking PAN and bank details within 90 days of the said circular and two reminders thereof after the gap of 30 days....

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Use PAN to check compliance for a single foreign portfolio investor: SEBI

CIRCULAR No. IMD/FPIC/CIR/P/2018/114 - (13/07/2018) - a) Use Permanent Account Number (PAN) issued by Income Tax Department of India for checking compliance for a single foreign portfolio investor; and b) Obtain validation from Depositories for the foreign portfolio investors who have invested in the particular primary market issuance to ensure there i...

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Stock Brokers shall not accept cash from their clients : SEBI

Circular No. SEBI/HO/MIRSD/DOP/CIR/P/2018/113 - (12/07/2018) - The stock brokers shall accept cheques drawn only by the clients and also issue cheques in favour of the clients only, for their transactions. Stock Brokers shall not accept cash from their clients either directly or by way of cash deposit to the bank account of stock broker....

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SEBI modifies Stress testing method for credit risk for commodity derivatives

Circular No. SEBI/HO/CDMRD/DRMP/CIR/P/2018/111 - (11/07/2018) - Vide circular SEBI/HO/CDMRD/DRMP/CIP/P/2016/86 dated September 16, 2016, SEBI had continued norms related to, inter-alia, Settlement Guarantee Fund (SGF) and Stress test to determine adequacy of SGF prescribed by erstwhile Forward Markets Commission for National Commodity Derivatives Exchanges....

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Master Circular for Mutual Funds

Master Circular No. SEBI/HO/IMD/DF5/CIR/P/2018/109 - (10/07/2018) - For effective regulation of the Mutual Fund Industry, Securities and Exchange Board of India (SEBI) has been issuing various circulars from time to time. In order to enable the industry and other users to have an access to all the applicable circulars at one place, Master Circular for Mutual Funds h...

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Recent Posts in "SEBI notifications"

Framework for Enhanced Market Borrowings by large Corporates

1.1. Government of India in the Union Budget of 2018-19, made the following announcement: “SEBI will also consider mandating, beginning with large Corporates, to meet about one-fourth of their financing needs from the debt market.” 1.2. A series of steps have been taken, over time, by Government in consultation with Regulators, ...

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Posted Under: SEBI |

Consultation Paper on proposed SEBI (Fiduciaries in Securities Market) (Amendment) Regulations

The Regulations relating to the issue of capital mainly follow a disclosure based regime and investors rely upon the offer documents and financial statements which are audited/examined/vetted by various fiduciaries such as Chartered Accountant, Company Secretary, Valuer etc. ...

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Posted Under: SEBI |

SEBI extends time limit for RTAs to send letters seeking PAN & bank details

SEBI/HO/MIRSD/DOS3/CIR/P/2018/115 (16/07/2018)

SEBI, vide circular No. SEBI/HO/MIRSD/DOP1/CIR/P/2018/73 dated April 20,2018, inter-alia, mandated RTAs to send a letter under Registered / Speed post seeking PAN and bank details within 90 days of the said circular and two reminders thereof after the gap of 30 days....

Read More

Use PAN to check compliance for a single foreign portfolio investor: SEBI

CIRCULAR No. IMD/FPIC/CIR/P/2018/114 (13/07/2018)

a) Use Permanent Account Number (PAN) issued by Income Tax Department of India for checking compliance for a single foreign portfolio investor; and b) Obtain validation from Depositories for the foreign portfolio investors who have invested in the particular primary market issuance to ensure there is no breach of investment limit within t...

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Stock Brokers shall not accept cash from their clients : SEBI

Circular No. SEBI/HO/MIRSD/DOP/CIR/P/2018/113 (12/07/2018)

The stock brokers shall accept cheques drawn only by the clients and also issue cheques in favour of the clients only, for their transactions. Stock Brokers shall not accept cash from their clients either directly or by way of cash deposit to the bank account of stock broker....

Read More

SEBI modifies Stress testing method for credit risk for commodity derivatives

Circular No. SEBI/HO/CDMRD/DRMP/CIR/P/2018/111 (11/07/2018)

Vide circular SEBI/HO/CDMRD/DRMP/CIP/P/2016/86 dated September 16, 2016, SEBI had continued norms related to, inter-alia, Settlement Guarantee Fund (SGF) and Stress test to determine adequacy of SGF prescribed by erstwhile Forward Markets Commission for National Commodity Derivatives Exchanges....

Read More

Master Circular for Mutual Funds

Master Circular No. SEBI/HO/IMD/DF5/CIR/P/2018/109 (10/07/2018)

For effective regulation of the Mutual Fund Industry, Securities and Exchange Board of India (SEBI) has been issuing various circulars from time to time. In order to enable the industry and other users to have an access to all the applicable circulars at one place, Master Circular for Mutual Funds has been prepared....

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SEBI Circular on adjustment in strike price on declaration of dividend

Circular No. CIR/MRD/DoP-1/P/00108/2018 (05/07/2018)

Based on the recommendations of SMAC, it has been decided to review the mechanism of dividend adjustment for stock options. The adjustment in strike price shall be carried out in the following cases of declaration of dividends...

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Guidelines on AML/ CFT – Obligations of Securities Market Intermediaries

Master Circular No. SEBI/HO/MIRSD/DOS3/CIR/P/2018/104 (04/07/2018)

Guidelines on Anti-Money Laundering (AML) Standards and Combating the Financing of Terrorism (CFT) /Obligations of Securities Market Intermediaries under the Prevention of Money Laundering Act, 2002 and Rules framed there under...

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Disclosure by AIFs/ VCFs to monitor utilization of overseas investment limits

Circular No. SEBI/HO/IMD/DF1/CIR/P/2018/103/2018 (03/07/2018)

In order to monitor the utilization of overseas investment limits, it is decided that AIFs/ VCFs shall mandatorily disclose the following: i. AIFs/ VCFs shall report the utilization of the overseas limits within 5 working days of such utilization on SEBI intermediary portal at https://siportal.sebi.gov.in....

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