SEBI notifications

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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Promoters Holding of Non-Compliant Listed Companies to Freeze

SEBI - PROMOTERS HOLDING OF NON-COMPLIANT LISTED COMPANIES ABOUT TO FREEZE On 5th June 2015, SEBI has issued a Circular directing issuers/RTA to 1. Update Distinctive Number (UDN) information in respect of all physical share capital and overall DN range for dematerialized share capital for all listed companies. 2. Take all necessary steps to upd...

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REITs and InvITs – The new superstar on the block

SEBI - The real estate and infrastructure sectors are the backbone of any successful economy. In order to provide impetus to these sectors, the government introduced the concept of REITs and InvITs in India. REITs and InvITs have been creating quite a buzz in recent times, especially because of the first ever listing of REIT in India. In this ba...

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SEBI’S New Borrowing Framework for Large Corporate

SEBI - Securities and Exchange Board of India vide circular dated November 26, 2018, introduced the new borrowing framework for the large entities in order to bring into the effect announcement made under the Union Budget for 2018-19. The Union Budget for 2018-19 which inter alia include the following announcement “SEBI will also consider mand...

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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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Resignation of Statutory Auditors from Listed Companies- Proposed Disclosure Norms

SEBI - There have been a significant number of instances of abrupt resignation of Statutory Auditors from listed entities in recent times. In most of the cases, the statutory auditors have suddenly resigned without completing their assignments for the year, generally citing ‘pre-occupation’ as the reason for resignation....

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SEBI Discussion Paper on Framework for Regulatory Sandbox

SEBI - Participants in the capital market in India have been early adopters of technology. SEBI believes that encouraging adoption and usage of financial technology (‘FinTech’) would have a profound impact on the development of securities market. FinTech can act as an instrument to further develop and maintain an efficient, fair and transpar...

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Cut-off Time for Determining Minimum Threshold of Margins to be Collected from Clients

Circular No. SEBI/HO/CDMRD/DRMP/CIR/P/2019/149 - (29/11/2019) - a. For the purpose of determining minimum threshold of margins to be collected by members from their clients, cut off time shall be kept as 5:00 b. Risk Parameter File (RPF) to be generated at cut-off time shall be applied on clients’ EOD portfolio for the purpose of determining minimum threshold ...

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Norms for Debt Exchange Traded Funds (ETFs)/Index Funds

Circular No. SEBI/HO/IMD/DF3/CIR/P/2019/147 - (29/11/2019) - The following norms are prescribed for Debt ETFs/Index Funds to be adopted by all AMCs: (a) The constituents of the index shall be aggregated at issuer level. (b) The index shall have a minimum of 8 issuers. (c) No single issuer shall have more than 15% weight in the index. (d) The ratin...

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SEBI notifies Permissible Jurisdictions for issuance of Depository Receipts

Circular No. SEBI/HO/MRD2/DCAP/CIR/P/2019/146 - (28/11/2019) - Listed company shall be permitted to issue permissible securities or transfer Permissible Securities of existing holders, for the purpose of issue of DRs, only in Permissible Jurisdictions and said DRs shall be listed on any of the specified International Exchange(s) of the Permissible Jurisdiction....

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SEBI allows Clearing Corporations to invest in Overnight Funds

Circular No. SEBI/HO/MRD2/DCAP/CIR/P/2019/145 - (28/11/2019) - SEBI decided to permit the Clearing Corporations to make investments in Overnight Funds; however, the combined investments made by Clearing Corporations in Liquid Funds and Overnight Funds shall not exceed a limit of ten percent of the total investible resources. Further, the investments in Overnigh...

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Guidelines for preferential issue & institutional placement of units by a listed REIT

SEBI/HO/DDHS/DDHS/CIR/P/2019/142 - (27/11/2019) - Institutional Placement shall mean a preferential issue of units by a listed REIT only to Institutional Investors, as defined under REIT Regulations or circulars issued thereunder....

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Recent Posts in "SEBI notifications"

Cut-off Time for Determining Minimum Threshold of Margins to be Collected from Clients

Circular No. SEBI/HO/CDMRD/DRMP/CIR/P/2019/149 (29/11/2019)

a. For the purpose of determining minimum threshold of margins to be collected by members from their clients, cut off time shall be kept as 5:00 b. Risk Parameter File (RPF) to be generated at cut-off time shall be applied on clients’ EOD portfolio for the purpose of determining minimum threshold of margin to be collected from clients b...

Read More

Norms for Debt Exchange Traded Funds (ETFs)/Index Funds

Circular No. SEBI/HO/IMD/DF3/CIR/P/2019/147 (29/11/2019)

The following norms are prescribed for Debt ETFs/Index Funds to be adopted by all AMCs: (a) The constituents of the index shall be aggregated at issuer level. (b) The index shall have a minimum of 8 issuers. (c) No single issuer shall have more than 15% weight in the index. (d) The rating of the constituents of the index shall...

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SEBI notifies Permissible Jurisdictions for issuance of Depository Receipts

Circular No. SEBI/HO/MRD2/DCAP/CIR/P/2019/146 (28/11/2019)

Listed company shall be permitted to issue permissible securities or transfer Permissible Securities of existing holders, for the purpose of issue of DRs, only in Permissible Jurisdictions and said DRs shall be listed on any of the specified International Exchange(s) of the Permissible Jurisdiction....

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SEBI allows Clearing Corporations to invest in Overnight Funds

Circular No. SEBI/HO/MRD2/DCAP/CIR/P/2019/145 (28/11/2019)

SEBI decided to permit the Clearing Corporations to make investments in Overnight Funds; however, the combined investments made by Clearing Corporations in Liquid Funds and Overnight Funds shall not exceed a limit of ten percent of the total investible resources. Further, the investments in Overnight Funds shall also be considered as 'Liq...

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Guidelines for preferential issue & institutional placement of units by a listed REIT

SEBI/HO/DDHS/DDHS/CIR/P/2019/142 (27/11/2019)

Institutional Placement shall mean a preferential issue of units by a listed REIT only to Institutional Investors, as defined under REIT Regulations or circulars issued thereunder....

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Guidelines for preferential issue / institutional placement of units by InvIT

Notification No. SEBI/HO/DDHS/DDHS/CI R/P/2019/143 (27/11/2019)

Guidelines for preferential issue of units and institutional placement of units by a listed Infrastructure Investment Trust (InvIT)- A listed InvIT may make a preferential issue of units or institutional placement of units under these guidelines, if it satisfies the following conditions:...

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Listed entities to disclose defaults on payment of Loan: SEBI

Circular No. SEBI/HO/CFD/CMD1/CIR/P/2019/140 (21/11/2019)

Specific disclosures are required under the SEBI LODR Regulations in certain matters such as delay / default in payment of interest / principal on debt securities such as Non-Convertible Debt (NCDs), Non-Convertible Redeemable Preference Shares (NCRPS) etc. It has been observed that similar disclosures are generally not made by listed ent...

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Stock Exchange Compliance for Listed Companies

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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Posted Under: SEBI |

Notification under SEBI (Certification of Associated Persons in Securities Markets) Regulations, 2007

Notification No. SEBI/LAD-NRO/GN/2019/41-SEBI (21/11/2019)

Notification under Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007-The trading members shall ensure that all such associated persons who are approved users or sales personnel as on the date of this notification obtain the certification by passing the Commodity Deriva...

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SEBI proposes Issuance of SEBI (Portfolio Managers) Regulations, 2019

Press Release No. 24/2019-SEBI (20/11/2019)

The salient features of the proposed SEBI (Portfolio Managers) Regulations, 2019 are: 1. To enhance the eligibility criteria and to define the role of Principal Officer clearly. The enhanced eligibility criteria to be applicable to any employee with decision making authority relating to management of the clients’ portfolios....

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