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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SEBI Alternative Investment Policy Advisory Committee submits 3rd Report

SEBI - To solicit the comments/views from public on suggestions pertaining to the third report submitted by Alternative Investment Policy Advisory Committee....

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Paper on permitting MFs and PMs to participate in Commodity Derivatives Market

SEBI - The objective of the consultation paper is to seek comments / views from the public on the proposal of permitting Mutual Funds (MFs) and Portfolio Managers (PMs), who are authorized under an agreement to invest on behalf of their clients, for participation in exchange traded commodity derivatives and to determine an ideal regulatory frame...

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Consultation Paper on SEBI (Investment Advisers) Regulations, 2013

SEBI - Regulation 22 and other applicable provisions of IA Regulations are proposed to be amended as under: i. There shall be clear segregation between the investment advisory activities and distribution/execution services. An entity offering investment advisory services shall not be permitted to offer distribution/execution services....

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Scheme for conduct of Awareness Programs for Commodities Derivatives 2017

SEBI - This document sets contours for conduct of Commodities Derivatives Awareness Programs (CAPs) and gives guidelines to entities who may like to empanel with SEBI as Commodities Derivatives Trainers (CoTs)....

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SEBI discussion paper on Draft Code of Conduct for Index Providers

SEBI - To solicit the comments/ views from market participants on the issue of code of conduct for index providers to enhance greater level of transparency, increased disclosure requirements and to provide broad framework for Index Providers while managing/ maintaining Indices....

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Strengthening Guidelines & Raising Industry standards for RTA, Issuer Companies & Banker to an Issue

Circular No. SEBI/HO/MIRSD/DOP1/CIR/P/2018/73 - (20/04/2018) - These guidelines cover the following broad areas: i. Provisions with respect to Payment of Dividend/interest/redemption/ redemption ii. Provisions with respect to Transfer/Transmission/ Correction of errors etc. iii. Compulsory internal audit of RTAs...

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Amendment to SEBI (STP Centralised Hub and STP Service Providers) Guidelines, 2004

SEBI/HO/MIRSD/DOSR1/CIR/P/2018/0000000072 - (17/04/2018) - The Board has amended the sub-clause (2) of the clause 3 of the SEBI (STP Centralised Hub and STP Service Providers) Guidelines, 2004 by inserting the following new sub-clause, namely,- “iii. whether the applicant is a fit and proper person based on the criteria specified in Schedule II of the...

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Guidelines for issuance of debt securities by REITs and InvITs

Circural No. SEBI/HO/DDHS/DDHS/CIR/P/2018/71 - (13/04/2018) - For issuance of debt securities, REITs/InvITs shall follow provisions of SEBI (Issue and Listing of Debt Securities Regulations), 2008 in the following manner:- 2.1. Regulation 4 (5) and Regulation 16 (1) of SEBI ILDS Regulations, 2008 shall not be applicable for issuance of debt securities by REIT...

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Investments by FPIs in Government and Corporate debt securities

Circular No. SEBI/IMD/FPIC/CIR/P/2018/70 - (12/04/2018) - It has been decided to revise the CDIL and the limit for investment by FPIs in Government Securities and State Development Loans (SDL), for the Financial Year 2018-19, as follows:...

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Performance disclosure post consolidation/ Merger of Mutual Fund Schemes

Circular No. SEBI/HO/IMD/DF3/CIR/P/2018/69 - (12/04/2018) - Currently, there are no specific guidelines governing the depiction of performance of the surviving scheme, pursuant to merger of schemes. Further, it is observed that Mutual Funds adopt varied practices, such as disclosing the weighted average performance or performance of surviving schemes, while ...

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Strengthening Guidelines & Raising Industry standards for RTA, Issuer Companies & Banker to an Issue

Circular No. SEBI/HO/MIRSD/DOP1/CIR/P/2018/73 (20/04/2018)

These guidelines cover the following broad areas: i. Provisions with respect to Payment of Dividend/interest/redemption/ redemption ii. Provisions with respect to Transfer/Transmission/ Correction of errors etc. iii. Compulsory internal audit of RTAs...

Read More

Amendment to SEBI (STP Centralised Hub and STP Service Providers) Guidelines, 2004

SEBI/HO/MIRSD/DOSR1/CIR/P/2018/0000000072 (17/04/2018)

The Board has amended the sub-clause (2) of the clause 3 of the SEBI (STP Centralised Hub and STP Service Providers) Guidelines, 2004 by inserting the following new sub-clause, namely,- “iii. whether the applicant is a fit and proper person based on the criteria specified in Schedule II of the Securities and Exchange Board of India ...

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Guidelines for issuance of debt securities by REITs and InvITs

Circural No. SEBI/HO/DDHS/DDHS/CIR/P/2018/71 (13/04/2018)

For issuance of debt securities, REITs/InvITs shall follow provisions of SEBI (Issue and Listing of Debt Securities Regulations), 2008 in the following manner:- 2.1. Regulation 4 (5) and Regulation 16 (1) of SEBI ILDS Regulations, 2008 shall not be applicable for issuance of debt securities by REITs/InvITs....

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Investments by FPIs in Government and Corporate debt securities

Circular No. SEBI/IMD/FPIC/CIR/P/2018/70 (12/04/2018)

It has been decided to revise the CDIL and the limit for investment by FPIs in Government Securities and State Development Loans (SDL), for the Financial Year 2018-19, as follows:...

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Performance disclosure post consolidation/ Merger of Mutual Fund Schemes

Circular No. SEBI/HO/IMD/DF3/CIR/P/2018/69 (12/04/2018)

Currently, there are no specific guidelines governing the depiction of performance of the surviving scheme, pursuant to merger of schemes. Further, it is observed that Mutual Funds adopt varied practices, such as disclosing the weighted average performance or performance of surviving schemes, while making such disclosures....

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Review of Framework for Stocks in Derivatives Segment

Circular No. SEBI/HO/MRD/DP/CIR/P/2018/67 (11/04/2018)

Derivatives on stocks (new/existing) which meet the enhanced eligibility criteria (given at para 4 above) shall be cash settled until further notification, however such stocks, if they fail to satisfy any of the enhanced eligibility criteria for a continuous period of three months, shall move from cash settlement to physical settlement. ...

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SEBI (Real Estate Investment Trusts) (Amendment) Regulations, 2018

Notification No. SEBI/LAD-NRO/GN/2018/06 (10/04/2018)

1. These regulations may be called the Securities and Exchange Board of India (Real Estate Investment Trusts) (Amendment) Regulations, 2018. 2. They shall come into force on the date of their publication in the Official Gazette....

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SEBI (Infrastructure Investment Trusts) (Amendment) Regulations, 2018

Notification No. SEBI/LAD-NRO/GN/2018/07 (10/04/2018)

1. These regulations may be called the Securities and Exchange Board of India (Infrastructure Investment Trusts) (Amendment) Regulations, 2018. 2. They shall come into force on the date of their publication in the Official Gazette....

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Know Your Client Requirements for Foreign Portfolio Investors (FPIs)

CIR/IMD/FPIC/CIR/P/2018/64 (10/04/2018)

(a) Identification and verification of Beneficial Owners (i) Beneficial Owner (BO) is the natural person(s) who ultimately owns or controls an FPI and should be identified in accordance with Rule 9 of the Prevention of Money-laundering (Maintenance of Records) Rules, 2005 (hereinafter referred as PMLA Rules)....

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Clarification on clubbing of investment limits of foreign Government/ foreign Government related entities

SEBI/HO/IMD/FPIC/CIR/P/2018/66 (10/04/2018)

What is the investment limit for foreign Government/ foreign Government related entities registered as Foreign Portfolio Investors (FPI)? Reply: The purchase of equity shares of each company by a single FPI or an investor group shall be below ten percent of the total paid up capital of the company. [Ref. Regulation 21(7) of FPI Regulation...

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