SEBI notifications

Mooting of ‘Person-in-Control’ over ‘Promoter’- Looking through SEBI’s proposal

SEBI - Pursuant to the SEBI (Issue of Capital and Disclosure Requirements) Regulations of 2018, SEBI on 11th May, 2021 came up with a consultation paper seeking public comments and reviewing the current situation concerning: Promoters, Promoter Group and Group Companies. And in continuation to the same, it has garnered following proposals for wh...

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Relaxation from compliance with certain provisions of SEBI LODR

SEBI - Relaxation from compliance with certain provisions of the SEBI (Listing Obligations Disclosure Requirements) Regulations, 2015 (‘LODR’) due to the Covid-19 pandemic 1. On account of various representations made by listed entities, professional bodies, industry associations, market participants etc. requesting extension of timelines du...

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SEBI Compliances for Listed Company

SEBI - Meaning of Listed Company: Listed company means a company which has any of its securities listed on any recognised stock exchange; Advantages of Listed Company -The Company can raise additional fund through the issue of more stock -Employee stock options can be offered to the employees of a listed company that leads to making the [&hellip...

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Brief on SEBI Research Analyst Regulations 2014

SEBI - After a complete regulatory overhaul in Investment Advisory regulations SEBI is soon expected to come out with regulatory overhaul for Research Analyst space also. There is a greater need to align you with the regulation and be on the right side of the regulation as the regulator prepares to launch a review of regulatory compliance [&hell...

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Updates of MCA, SEBI, RBI & IBBI for the month of March 2021

SEBI - Article contains updates with respect to Notifications, Circulars, Rules, Regulations issued in the Month of March 2021 by Ministry of Corporate Affairs (MCA), Securities Exchange Board of India, Updates of the Reserve Bank of India (RBI), Insolvency and Bankruptcy Board of India (IBBI) and also includes Recent Corporate News. Article att...

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Regulatory framework of promoter, promoter group & group companies under SEBI (ICDR), Regulations

SEBI - Securities and Exchange Board of India Consultation Paper on ‘Review of the regulatory framework of promoter, promoter group and group companies as per Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2018‘ I. Objective 1) The objective of this consultation paper is to seek com...

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Compilation of SEBI Informal Guidance on Insider Trading Regulations

SEBI - Compilation of Informal Guidance sought by the Market Participants under SEBI (Prohibition of Insider Trading) Regulations, 2015 (PIT Regulations) for the period October 14, 2015- March 31, 2021 COMPILATION OF INFORMAL GUIDANCE – SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 (Period October 2015 – March 2021) PREFACE...

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Securities Contracts (Regulation) Act, 1956

SEBI - Securities Contracts (Regulation) Act, 1956 (As amended by the Finance Act, 2021 (13 of 2021) w.e.f. April 1, 2021) Securities and Exchange Board of India SECURITIES CONTRACTS (REGULATION) ACT, 1956 [42 OF 1956] SECTIONS PRELIMINARY 1. Short title, extent and commencement 2. Definitions RECOGNISED STOCK EXCHANGES 3. Application for recogn...

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Securities and Exchange Board of India Act, 1992

SEBI - Securities and Exchange Board of India Act, 1992 (As amended by the Finance Act, 2021 (13 of 2021) w.e.f. April 1, 2021) Securities and Exchange Board of India Act, 1992 SECTIONS CHAPTER I PRELIMINARY 1. Short title, extent and commencement 2. Definitions CHAPTER II ESTABLISHMENT OF THE SECURITIES AND EXCHANGE BOARD OF INDIA 3. Establishm...

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Introduction of Concept of “Accredited Investors” in Indian securities market

SEBI - The objective of Consultation Paper on Introduction of concept of Accredited Investors in Indian securities market is to seek comments from the public and various stakeholders of the securities market, on the proposal to introduce the concept of Accredited Investors in the Indian securities market....

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SEBI Imposes Penalty for not complying with summonses

In re Dwitiya Trading Limited (SEBI) - In re Dwitiya Trading Limited (SEBI) The conduct of the Noticee in not paying heed to the summonses issued by SEBI and resultant non-cooperation with the process of investigation cannot be taken lightly. The SEBI Act grants powers of investigation and collection of information/documents for the purp...

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SEBI imposes penalty for alleged manipulative trades on RIL, Mukesh Ambani & 2 Other entities

In re Reliance Industries Ltd (SEBI) - In re Reliance Industries Ltd (SEBI) It was observed by RIL has entered into a scheme of manipulative trades in respect of the sale of 5% of RIL stake in RPL. However, before undertaking sale transactions in the Cash Segment, RIL fraudulently booked large short positions in the RPL November Futures ...

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Procedure for seeking prior approval for change in control of SEBI registered Portfolio Managers

Circular No. SEBI/HO/IMD/IMD-I/DOF1/P/CIR/2021/564  - (12/05/2021) - Regulation 11(aa) provides that a Portfolio Manager shall obtain prior approval of SEBI in case of change in control in such manner as may be specified by SEBI. Accordingly, it has been decided that all SEBI registered Portfolio Managers shall comply with the following in case they propose a change ...

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SEBI specifies qualified financial market participants under Bilateral Netting of Qualified Financial Contracts Act, 2020

Notification No. SEBI/LAD-NRO/GN/2021/24 - (12/05/2021) - SEBI specifies qualified financial market participants under Bilateral Netting of Qualified Financial Contracts Act, 2020 SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 12th May, 2021 No. SEBI/LAD-NRO/GN/2021/24.—In exercise of the powers conferred by clause (b) of Section 4 read ...

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Can Investment Adviser continue to collect performance-based fee?

Circular No. SEBI/H0/1MD/DF1/0W/P/2021/0000010174/1 - (11/05/2021) - Can Investment Adviser (IA) continue to collect performance-based fee whenever the same is due in terms of the agreement executed with Client, even if such fee is due on a date after March 31, 2021? lAs are not permitted to collect any fee other than the fee as specified in the aforesaid Circular. F...

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Business responsibility and sustainability reporting by listed entities

PR No. 18/2021 and Circular No. SEBI/HO/CFD/CMD-2/P/CIR/2021/562 - (10/05/2021) - Pursuant to the decision taken at SEBI Board meeting dated March 25, 2021 on introducing new sustainability related reporting requirements, SEBI has today issued a Circular containing the format of the Business Responsibility and Sustainability Report...

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Technical Group Report on Social Stock Exchange for comments

Press Release No. 17/2021-SEBI - (06/05/2021) - SEBI seeks public comments on the Report Submitted by the Technical Group on Social Stock Exchange - The Technical Group has since finalized and submitted its report to SEBI. It has built upon the recommendations made earlier by the WG....

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Recent Posts in "SEBI notifications"

Mooting of ‘Person-in-Control’ over ‘Promoter’- Looking through SEBI’s proposal

Pursuant to the SEBI (Issue of Capital and Disclosure Requirements) Regulations of 2018, SEBI on 11th May, 2021 came up with a consultation paper seeking public comments and reviewing the current situation concerning: Promoters, Promoter Group and Group Companies. And in continuation to the same, it has garnered following proposals for wh...

Read More
Posted Under: SEBI |

Procedure for seeking prior approval for change in control of SEBI registered Portfolio Managers

Circular No. SEBI/HO/IMD/IMD-I/DOF1/P/CIR/2021/564  12/05/2021

Regulation 11(aa) provides that a Portfolio Manager shall obtain prior approval of SEBI in case of change in control in such manner as may be specified by SEBI. Accordingly, it has been decided that all SEBI registered Portfolio Managers shall comply with the following in case they propose a change in control:...

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SEBI specifies qualified financial market participants under Bilateral Netting of Qualified Financial Contracts Act, 2020

Notification No. SEBI/LAD-NRO/GN/2021/24 12/05/2021

SEBI specifies qualified financial market participants under Bilateral Netting of Qualified Financial Contracts Act, 2020 SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 12th May, 2021 No. SEBI/LAD-NRO/GN/2021/24.—In exercise of the powers conferred by clause (b) of Section 4 read with sub-clause (vi) of clause (o) of su...

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Regulatory framework of promoter, promoter group & group companies under SEBI (ICDR), Regulations

Securities and Exchange Board of India Consultation Paper on ‘Review of the regulatory framework of promoter, promoter group and group companies as per Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2018‘ I. Objective 1) The objective of this consultation paper is to seek com...

Read More
Posted Under: SEBI |

Can Investment Adviser continue to collect performance-based fee?

Circular No. SEBI/H0/1MD/DF1/0W/P/2021/0000010174/1 11/05/2021

Can Investment Adviser (IA) continue to collect performance-based fee whenever the same is due in terms of the agreement executed with Client, even if such fee is due on a date after March 31, 2021? lAs are not permitted to collect any fee other than the fee as specified in the aforesaid Circular. Further, lAs […]...

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Business responsibility and sustainability reporting by listed entities

PR No. 18/2021 and Circular No. SEBI/HO/CFD/CMD-2/P/CIR/2021/562 10/05/2021

Pursuant to the decision taken at SEBI Board meeting dated March 25, 2021 on introducing new sustainability related reporting requirements, SEBI has today issued a Circular containing the format of the Business Responsibility and Sustainability Report...

Read More

Technical Group Report on Social Stock Exchange for comments

Press Release No. 17/2021-SEBI 06/05/2021

SEBI seeks public comments on the Report Submitted by the Technical Group on Social Stock Exchange - The Technical Group has since finalized and submitted its report to SEBI. It has built upon the recommendations made earlier by the WG....

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SEBI (Payment of Fees And Mode of Payment) (Amendment) Regulations, 2021

Notification No. SEBI/LAD-NRO/GN/2021/23 05/05/2021

SEBI notifies Securities and Exchange Board of India (Payment of Fees and Mode of Payment) (Amendment) Regulations, 2021 with effect from 5th May, 2021...

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SEBI (Listing Obligations and Disclosure Requirements) (Second Amendment) Regulations, 2021

Notification No. SEBI/LAD-NRO/GN/2021/22 05/05/2021

SEBI notifies Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Second Amendment) Regulations, 2021 wef May 5, 2021....

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SEBI (Alternative Investment Funds) (Second Amendment) Regulations, 2021

No. SEBI/LAD-NRO/GN/2021/21 05/05/2021

SEBI notifies Securities and Exchange Board of India (Alternative Investment Funds) (Second Amendment) Regulations, 2021 with effect from 5th May, 2021...

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