SEBI notifications

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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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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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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Interim Report of working group on KYC Requirements for FPIs

SEBI - SEBI requested the working group that pending detailed examination of the issues referred to the working group, an interim report containing recommendations on the issues arising out of the SEBI circular dated April 10, 2018 on KYC requirements for FPIs be submitted....

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Discussion Paper on Delisting of Equity Shares – Review of “Reverse Book Building Process”

SEBI - urrently, in voluntary delisting an issuer/promoter has to first take the approval of shareholders of that class, then an in-principal approval of the stock exchange followed by RBB Process to discover the price. The promoter may choose to pay a price equal to or more than the discovered price to the shareholders who had tendered their sh...

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Mutual funds permitted to write call options under a covered call strategy

Circular No. SEBI/HO/IMD/DF2/CIR/P/2019/17 - (16/01/2019) - Based on the suggestions of market participants and recommendations of Mutual Fund Advisory Committee (MFAC), it has been decided to permit mutual funds to write call options under a covered call strategy as prescribed below:...

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Guidelines for public issue of units of InvITs – Amendments

Circular No. SEBI/HO/DDHS/CIR/P/2019/16 - (15/01/2019) - With a view to further rationalise and ease the process of public issue of units of InvITs, it has been decided to provide for following in the InvIT Guidelines:...

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Guidelines for public issue of units of REITs – Amendments

Circular No. SEBI/HO/DDHS/CIR/P/2019/15 - (15/01/2019) - With a view to further rationalise and ease the process of public issue of units of REITs, it has been decided to provide for following in the REIT Guidelines:...

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SEBI guide to implement Uniform membership structure across segments

Circular No. SEBI/HO/MIRSD/DOP/CIR/P/2019/14 - (11/01/2019) - Securities and Exchange Board of India CIRCULAR SEBI/HO/MIRSD/DOP/CIR/P/2019/14 January 11, 2019 To, 1. All Recognized Stock Exchanges 2. All Clearing Corporations Dear Sir / Madam, Sub: Uniform membership structure across segments 1. In cash segment, all the Stock Brokers are trading cum self-clear...

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SEBI rationalizes Committees at Market Infrastructure Institutions

Circular No. SEBI/HO/MRD/DOP2DSA2/CIR/P/2019/13 - (10/01/2019) - Securities and Exchange Board of India CIRCULAR SEBI/HO/MRD/DOP2DSA2/CIR/P/2019/13 Date: January 10, 2019 To All Stock Exchanges, Clearing Corporations and Depositories. Sir/ Madam, Subject: Committees at Market Infrastructure Institutions (MIIs) 1. The erstwhile Securities Contracts (Regulation) (S...

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Recent Posts in "SEBI notifications"

Mutual funds permitted to write call options under a covered call strategy

Circular No. SEBI/HO/IMD/DF2/CIR/P/2019/17 (16/01/2019)

Based on the suggestions of market participants and recommendations of Mutual Fund Advisory Committee (MFAC), it has been decided to permit mutual funds to write call options under a covered call strategy as prescribed below:...

Read More

Guidelines for public issue of units of InvITs – Amendments

Circular No. SEBI/HO/DDHS/CIR/P/2019/16 (15/01/2019)

With a view to further rationalise and ease the process of public issue of units of InvITs, it has been decided to provide for following in the InvIT Guidelines:...

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Guidelines for public issue of units of REITs – Amendments

Circular No. SEBI/HO/DDHS/CIR/P/2019/15 (15/01/2019)

With a view to further rationalise and ease the process of public issue of units of REITs, it has been decided to provide for following in the REIT Guidelines:...

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SEBI guide to implement Uniform membership structure across segments

Circular No. SEBI/HO/MIRSD/DOP/CIR/P/2019/14 (11/01/2019)

Securities and Exchange Board of India CIRCULAR SEBI/HO/MIRSD/DOP/CIR/P/2019/14 January 11, 2019 To, 1. All Recognized Stock Exchanges 2. All Clearing Corporations Dear Sir / Madam, Sub: Uniform membership structure across segments 1. In cash segment, all the Stock Brokers are trading cum self-clearing members whereas in derivatives segme...

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SEBI rationalizes Committees at Market Infrastructure Institutions

Circular No. SEBI/HO/MRD/DOP2DSA2/CIR/P/2019/13 (10/01/2019)

Securities and Exchange Board of India CIRCULAR SEBI/HO/MRD/DOP2DSA2/CIR/P/2019/13 Date: January 10, 2019 To All Stock Exchanges, Clearing Corporations and Depositories. Sir/ Madam, Subject: Committees at Market Infrastructure Institutions (MIIs) 1. The erstwhile Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations...

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Guideline to implement Cyber Security & Resilience framework for MFs / AMCs

Circulra No. SEBI/HO/IMD/DF2/CIR/P/2019/12 (10/01/2019)

Cyber security framework includes measures, tools and processes that are intended to prevent cyber-attacks and improve cyber resilience. Cyber Resilience is an organization’s ability to prepare and respond to a cyber-attack and to continue operation during, and recover from, a cyber-attack....

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Portfolio Concentration Norms for ETFs and Index Funds

SEBI/HO/IMD/DF3/CIR/P/2019/011 (10/01/2019)

1. In order to address the risk related to portfolio concentration in ETFs and Index Funds, it has been decided to adopt the following norms: a) The index shall have a minimum of 10 stocks as its constituents. b) For a sectoral/ thematic Index, no single stock shall have more than 35% weight in the index. For other than sectoral/ thematic...

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Additional Disclosures by Stock Exchanges for commodity derivatives

Circular No. SEBI/HO/CDMRD/DNPMP/CIR/P/201 9/08 (04/01/2019)

Securities and Exchange Board of India  CIRCULAR SEBI/HO/CDMRD/DNPMP/CIR/P/201 9/08 January 04, 2019 To, The Managing Directors / Chief Executive Officers All Recognized Stock Exchanges having commodity derivatives segment Dear Sir / Madam, Sub: Disclosures by Stock Exchanges for commodity derivatives 1. SEBI vide circular SEBI/HO/CDMRD...

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Market intermediaries to submit report to SEBI on AI & ML applications

Circular No. SEBI/HO/MIRSD/DOS2/CIR/P/2019/10 (04/01/2019)

As most AI / ML systems are black boxes and their behavior cannot be easily quantified, it is imperative to ensure that any advertised financial benefit owing to these technologies in investor facing financial products offered by intermediaries should not constitute to misrepresentation...

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Probate of Will or Will for Transmission of Securities held in demat

Circualr No. SEBI/HO/MIRSD/DOP/CIR/P/2019/05 (04/01/2019)

Succession certificate or probate of will or will or letter of administration or court decree, as may be applicable in terms of Indian Succession Act, 1925 has been prescribed as documentary requirement for transmission of securities held in physical mode....

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