SEBI notifications

Sensitization: The key to implementation of PIT Regulations

SEBI - CS Ambika Mehrotra Background of the Regulations The strong and decisive steps taken by the Securities and Exchange Board of India with respect to the Prohibition of Insider Trading Regulations have been quite a matter of concern for last couple of months. The modifications in the existing SEBI (Prohibition of Insider Trading) Regulation...

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SEBI comes with format of Annual Secretarial Compliance Report  

SEBI - SEBI circular dated February 8, 2019 brought in concept of annual secretarial compliance report and Annual secretarial audit report. This write-up deliberates upon the above mentioned reports and the motive behind bringing in the same. ...

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FAQs on Secretarial Compliance Report

SEBI - The SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 have been amended to include the following Regulation: 24A: Secretarial Audit Every  listed  entity  and  its  material  unlisted  subsidiaries  incorporated  in  India  shall  undertake  secretarial  audit  and  shall  annex  with  its  ann...

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Actions As Per Amendment In SEBI (LODR) Regulation 2015 (Part II)

SEBI - Background: SEBI formed a committee on corporate governance in June 2017 under the Chairmanship of Mr. Uday Kotak with a view to enhancing the standards of corporate governance of listed entities in India. The committee comprised of stalwarts from diverse fields viz. the government, industry, professional bodies, stock exchanges, academi...

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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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Consultation Paper Issuance of shares with Differential Voting Rights [DVRs]

SEBI - Securities and Exchange Board of India 1. BACKGROUND 1.1. There is increasing debate about the need to enable issuance and listing of shares with differential voting rights, commonly known as DVRs in India; and dual class shares or DCS in the international context. Such shares have rights disproportionate to their economic ownership. In p...

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Paper on Amendment of SEBI InvIT / REIT Regulations, 2014

SEBI - Consultation Paper on Amendment of SEBI (Infrastructure Investment Trusts) Regulation, 2014 and SEBI (Real Estate Investment Trusts) Regulation, 2014 ...

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Do’s and Don’ts while dealing with Investment Advisers

SEBI - Always deal with SEBI registered Investment Advisers. Ensure that the Investment Adviser has a valid registration certificate. Pay only advisory fees to your Investment Adviser. Make payments of advisory fees through banking channels only and maintain duly signed receipts mentioning the details of your payments....

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Consultation Paper Review of framework for Institutional Trading Platform

SEBI - The regulatory framework for Institutional Trading Platform was put in place vide amendments to the SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009 on August 14, 2015, with a view to facilitate listing of new age start-ups in sectors like e-commerce, data analytics, bio-technology and other start-ups....

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Important measures by SEBI pertaining to Corporates

SEBI - SEBI, inter alia, enhanced the focus on independent directors, prescribed separation of posts of CEO/ MD and Chairperson; enhanced role of the Audit Committee, Nomination and Remuneration Committee and Risk Management Committee; strengthened approval and disclosure of related party transactions...

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SEBI (Custodian) (Amendment) Regulations, 2019

No. SEBI/LAD-NRO/GN/2019/04 - (22/03/2019) - 1. These Regulations may be called the Securities and Exchange Board of India (Custodian) (Amendment) Regulations, 2019.2. They shall come into force on the date of their publication in the Official Gazette....

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SEBI circular on Valuation of money market & debt securities

SEBI/HO/IMD/DF4/CIR/P/2019/41 - (22/03/2019) - Valuation of money market and debt securities which are rated below investment grade:2.1 In order to have uniformity and consistency across the Mutual Fund industry on valuation of money market and debt securities rated below investment grade, the following has been decided:...

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Framework for Utilization of Regulatory Fee Foregone by SEBI

SEBI/HO/CDMRD/DMP/CIR/P/2019/40 - (20/03/2019) - SEBI has reduced the regulatory fee on Stock Exchanges with respect to turnover in agricultural commodity derivatives. The objective was to reduce the cost burden on farmers/FPOs from the amount saved by the Exchanges due to reduction of regulatory fee....

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SEBI signs a MOU with IBBI

PR No.: 10/2019 - (19/03/2019) - SEBI signed a MoU today with IBBI at Mumbai. The said MoU was signed by Shri Anand R. Baiwar - Executive Director, SEBI and Shri Ritesh Kavdia – Executive Director, IBBI....

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Clarification on participation of EFIs in Commodity Derivatives in IFSC

SEBI/HO/MRD/DRMNP/CIR/P/2019/39 - (18/03/2019) - EFIs may participate in commodity derivatives contracts traded in stock exchanges in IFSC subject to the following conditions:-2.1. The participation would be limited to the derivatives contracts in non-agricultural commodities only,2.2. Contracts would be cash settled on the settlement price determ...

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Recent Posts in "SEBI notifications"

SEBI (Custodian) (Amendment) Regulations, 2019

No. SEBI/LAD-NRO/GN/2019/04 (22/03/2019)

1. These Regulations may be called the Securities and Exchange Board of India (Custodian) (Amendment) Regulations, 2019.2. They shall come into force on the date of their publication in the Official Gazette....

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SEBI circular on Valuation of money market & debt securities

SEBI/HO/IMD/DF4/CIR/P/2019/41 (22/03/2019)

Valuation of money market and debt securities which are rated below investment grade:2.1 In order to have uniformity and consistency across the Mutual Fund industry on valuation of money market and debt securities rated below investment grade, the following has been decided:...

Read More

Sensitization: The key to implementation of PIT Regulations

CS Ambika Mehrotra Background of the Regulations The strong and decisive steps taken by the Securities and Exchange Board of India with respect to the Prohibition of Insider Trading Regulations have been quite a matter of concern for last couple of months. The modifications in the existing SEBI (Prohibition of Insider Trading) Regulation...

Read More
Posted Under: SEBI |

Framework for Utilization of Regulatory Fee Foregone by SEBI

SEBI/HO/CDMRD/DMP/CIR/P/2019/40 (20/03/2019)

SEBI has reduced the regulatory fee on Stock Exchanges with respect to turnover in agricultural commodity derivatives. The objective was to reduce the cost burden on farmers/FPOs from the amount saved by the Exchanges due to reduction of regulatory fee....

Read More

Consultation Paper Issuance of shares with Differential Voting Rights [DVRs]

Securities and Exchange Board of India 1. BACKGROUND 1.1. There is increasing debate about the need to enable issuance and listing of shares with differential voting rights, commonly known as DVRs in India; and dual class shares or DCS in the international context. Such shares have rights disproportionate to their economic ownership. In p...

Read More
Posted Under: SEBI |

SEBI signs a MOU with IBBI

PR No.: 10/2019 (19/03/2019)

SEBI signed a MoU today with IBBI at Mumbai. The said MoU was signed by Shri Anand R. Baiwar - Executive Director, SEBI and Shri Ritesh Kavdia – Executive Director, IBBI....

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Clarification on participation of EFIs in Commodity Derivatives in IFSC

SEBI/HO/MRD/DRMNP/CIR/P/2019/39 (18/03/2019)

EFIs may participate in commodity derivatives contracts traded in stock exchanges in IFSC subject to the following conditions:-2.1. The participation would be limited to the derivatives contracts in non-agricultural commodities only,2.2. Contracts would be cash settled on the settlement price determined on overseas exchanges, and2.3. All ...

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Clarification on Cyber Security & Cyber Resilience Circular

Circular No. CIR/HO/MIRSD/DOS2/CIR/PB/2019/038 (15/03/2019)

Securities and Exchange Board of India CIRCULAR CIR/HO/MIRSD/DOS2/CIR/PB/2019/038 March 15, 2019 To, The Managing Directors of all Recognized Stock Exchanges and Depositories Dear Sir/Madam, Sub: Clarification to Cyber Security & Cyber Resilience framework for Stock Brokers / Depository Participants 1. SEBI vide circular no. SEBI/HO/M...

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SEBI (Delisting of Equity Shares) Regulations, 2015: Timelines for Counter Offer Process”

SEBI/HO/CFD/DCR2/CIR/P/2019/35 (13/03/2019)

Securities and Exchange Board of India CIRCULAR SEBI/HO/CFD/DCR2/CIR/P/2019/35 March 13, 2019 To All Listed Entities All Recognized Stock Exchanges All Registered Merchant Bankers Dear Sir / Madam, Sub: SEBI (Delisting of Equity Shares) Regulations, 2015 – “Timelines for Counter Offer Process” 1. SEBI (Delisting of Equity Shares) Re...

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Comply with RBI requirements related to corporate debt securities: SEBI

Circular No. IMD/FPIC/CIR/P/2019/37 (12/03/2019)

It is clarified that all the circulars and directions issued hereinafter by RBI w.r.t investment conditions for FPI Investment in corporate debt securities shall be complied with as per the timelines specified in the RBI circular(s). No separate circular(s) shall be issued by SEBI. All the intermediaries may take steps required to operati...

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