SEBI notifications

Recent amendment on Business Responsibility Reporting (BRR)

SEBI - SEBI expands the ambit of Business Responsibility Reporting (BRR) by notification No. SEBI/LAD-NRO/GN/2019/45 dated 26.12.2019 (Securities and Exchange Board of India – Listing Obligations and Disclosure Requirements) (Fifth Amendment) Regulations, 2019. Before discussing the amendments, first we understand the concept and relevant ...

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Dealing in securities by promoters – Insider Trading Regulation

SEBI - Understanding Provisions w.r.t, dealing of securities by promoters in the light of SEBI (Prohibition of Insider Trading Regulation) 2015 The objective of the SEBI (Prohibition of Insider Trading) Regulations, 2015 (“PIT Regulations”) is to prevent Insider Trading by prohibiting trading, communicating, counseling or procuring Unpublish...

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Checklist for Obtaining ISIN for Unlisted Public Companies

SEBI - Pursuant to Companies (Prospectus and allotment of Securities) Rules, 2014, every unlisted public company is required to secure International Security Identification Number (ISIN) for each type of security and facilitate dematerialisation of all its existing securities. To obtain a fresh ISIN, a company has to approach a SEBI registered R...

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Stock Exchange Compliance for Listed Companies

SEBI - The Companies which are Listed on the Stock Exchange(s) has required to be comply with the various SEBI Regulations. In this Article we will discuss about the Quarterly/Half Yearly/Annually and General Compliance under the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015, Securitie...

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Compilation of monthly Corporate Law updates of August 2019

SEBI - Article contains update on Amendment to Companies Act, 2013 and its Rules, Amendment to SEBI Law, NCLT Order, Highlights of Consumer Protection Bill, Labour laws, E-commerce guidelines for Consumer Protection ICSI – Recognition to Company Secretaries to act as Arbitrator under the Arbitration and Conciliation (Amendment) Act, 2019, upda...

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ICSI Guidance Note on Prevention of Insider Trading

SEBI - The act of Insider Trading does not only shake the capital markets, but also impacts the genuine Investors and the country’s economic growth. Various committees constituted by the Government have recommended measures to prohibit the practice of insider trading and the need to regulate the same. To deal with market abuse related to “in...

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Discussion Paper on ‘Usage of pool accounts in Mutual Fund Transactions’

SEBI - i. Pooling of funds/units by Stock Brokers, MFDs, IAs and other platforms may be discontinued for Mutual Fund Transactions. For implementation of the same, following may be ensured:...

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Thoughts and perspectives on Mutual Fund industry of SEBI Chairman

SEBI - As a capital market regulator, one of our objectives is to promote the growth of the securities market through greater investor participation. Mutual Funds are one of the most important institutions through which money collected from various investors, especially retail investors are channelized into the capital market....

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GIFT IFSC- Onshoring the Offshore

SEBI - Globally, the concept of an International Finance Centre or an IFC has been prevalent for quite some time and the experience in various jurisdictions has been quite encouraging. Various IFCs have been set up worldwide, amongst which the centres located in London, New York, Singapore and Dubai are among the prominent ones. These centres ha...

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Consultation Paper on SEBI (Portfolio Managers) Regulations, 1993

SEBI - The objective of the consultation paper is to seek comments / views from the public on the proposal to amend the SEBI (Portfolio Managers) Regulations, 1993 (PMS Regulations)....

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Guidelines for rights issue of units by a listed InvIT

Circular No. SEBI/HO/DDHS/DDHS/CIR/P/2020/10 - (17/01/2020) - Regulation 2(1)(zw) of Securities and Exchange Board of India (Infrastructure Investment Trusts) Regulations, 2014 (InvIT Regulations), defines a rights issue as an offer of units by a listed InvIT to the unitholders of the InvIT as on the record date fixed for the said purpose. This circular detail...

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Guidelines for rights issue of units by a listed REIT

SEBI/HO/DDHS/DDHS/CIR/P/2020/09 - (17/01/2020) - Regulation 2(1)(zq) of Securities and Exchange Board of India (Real Estate Investment Trusts) Regulations, 2014 (REIT Regulations), defines a rights issue as an offer of units by a listed REIT to the unitholders of the REIT as on the record date fixed for the said purpose. This circular details the ...

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Statement of Deviation in use of proceeds of issue of listed NCDs or NCRPs

Circulars No. SEBI/HO/DDHS/08/2020 - (17/01/2020) - SEBI notifies Format for Statement indicating Deviation or Variation in the use of proceeds of issue of listed non-convertible debt securities (NCDs) or listed non-convertible redeemable preference shares (NCRPs) alongwith its salient features. Securities and Exchange Board of India Circular No. SEB...

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SEBI amends Operational guidelines for FPIs & DDPs and EFIs

IMD/FPI&C/CIR/P/2020/07 - (16/01/2020) - In line with rule 1(a)(iv) of Schedule II of Foreign Exchange Management (Non-debt Instruments) Rules, 2019 regarding Investments by Foreign Portfolio Investors, certain foreign Government agencies and its related entities are exempt from clubbing of investment limit requirements and other investmen...

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Exchanges can launch ‘Option in Goods’ in commodity derivatives segment

Notification No. SEBI/HO/CDMRD/DMP/CIR/P/2020/05 - (16/01/2020) - Stock Exchanges are now permitted to launch ‘Option in Goods’ in their commodity derivatives segment. This is in addition to ‘Options on commodity futures’, guidelines which were issued vide SEBI circular SEBI/HO/CDMRD/DMP/CIR/P/2017/55 dated June 13, 2017....

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Recent Posts in "SEBI notifications"

Guidelines for rights issue of units by a listed InvIT

Circular No. SEBI/HO/DDHS/DDHS/CIR/P/2020/10 (17/01/2020)

Regulation 2(1)(zw) of Securities and Exchange Board of India (Infrastructure Investment Trusts) Regulations, 2014 (InvIT Regulations), defines a rights issue as an offer of units by a listed InvIT to the unitholders of the InvIT as on the record date fixed for the said purpose. This circular details the guidelines in respect of a rights ...

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Guidelines for rights issue of units by a listed REIT

SEBI/HO/DDHS/DDHS/CIR/P/2020/09 (17/01/2020)

Regulation 2(1)(zq) of Securities and Exchange Board of India (Real Estate Investment Trusts) Regulations, 2014 (REIT Regulations), defines a rights issue as an offer of units by a listed REIT to the unitholders of the REIT as on the record date fixed for the said purpose. This circular details the guidelines in respect of a […]...

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Statement of Deviation in use of proceeds of issue of listed NCDs or NCRPs

Circulars No. SEBI/HO/DDHS/08/2020 (17/01/2020)

SEBI notifies Format for Statement indicating Deviation or Variation in the use of proceeds of issue of listed non-convertible debt securities (NCDs) or listed non-convertible redeemable preference shares (NCRPs) alongwith its salient features. Securities and Exchange Board of India Circular No. SEBI/HO/DDHS/08/2020 Dated: January 17, 202...

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SEBI amends Operational guidelines for FPIs & DDPs and EFIs

IMD/FPI&C/CIR/P/2020/07 (16/01/2020)

In line with rule 1(a)(iv) of Schedule II of Foreign Exchange Management (Non-debt Instruments) Rules, 2019 regarding Investments by Foreign Portfolio Investors, certain foreign Government agencies and its related entities are exempt from clubbing of investment limit requirements and other investment conditions either by way of an agreeme...

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Exchanges can launch ‘Option in Goods’ in commodity derivatives segment

Notification No. SEBI/HO/CDMRD/DMP/CIR/P/2020/05 (16/01/2020)

Stock Exchanges are now permitted to launch ‘Option in Goods’ in their commodity derivatives segment. This is in addition to ‘Options on commodity futures’, guidelines which were issued vide SEBI circular SEBI/HO/CDMRD/DMP/CIR/P/2017/55 dated June 13, 2017....

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PACL Investors| Facility to view status of/deficiency in claim applications

Press Releases No. 2/2020 (15/01/2020)

The Committee had vide press release dated December 03, 2019 informed that an opportunity will be provided to all PACL investors/applicants with claims upto Rs. 5,000/-, whose claim applications were found deficient, to make good deficiencies as may be applicable to their claims, so as to enable their claims to be processed....

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ICSI Guidance Note on Prevention of Insider Trading

The act of Insider Trading does not only shake the capital markets, but also impacts the genuine Investors and the country’s economic growth. Various committees constituted by the Government have recommended measures to prohibit the practice of insider trading and the need to regulate the same. To deal with market abuse related to “in...

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SEBI (Listing Obligations and Disclosure Requirements) (Amendment) Regulations, 2020

Notification No. SEBI/ LAD-NRO/GN/2020/02 (10/01/2020)

Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Amendment) Regulations, 2020. SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 10th January, 2020 SECURITIES AND EXCHANGE BOARD OF INDIA (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) (AMENDMENT) REGULATIONS, 2020 No. SEBI/ LAD-NRO/...

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SEBI issues Operating Guidelines for Investment Advisers in IFSC

Notification No. SEBI/HO/IMD/DF1/CIR/P/2020/04 (09/01/2020)

Operating Guidelines for Investment Advisers in International Financial Services Centre (IFSC)- 1. Applicability of SEBI (Investment Advisers) Regulations, 2013 (‘Investment Adviser Regulations’) The applicability of these operating guidelines is subject to such conditions that may be prescribed by the Board, Reserve Bank of India and...

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SEBI revised existing Annual System Audit Framework

SEBI/HO/MRD1/ICC1/CIR/P/2020/03 (07/01/2020)

For the Annual System Audit, the following broad areas shall be considered in order to ensure that the audit is comprehensive and effective: a. The Audit shall be conducted according to the Norms, Terms of Reference (TOR) and Guidelines issued by SEBI....

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