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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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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SEBI Consultation Paper on streamlining process of monitoring of Offshore Derivative Instruments (ODIs)/Participatory Notes (PNs)

SEBI - SEBI has been taking steps for streamlining and tightening the conditions for issuance and reporting of ODIs by FPIs registered with SEBI. A list of the measures taken by SEBI in this regard during recent past is given as follows:-...

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SEBI amends Categorization of Mutual Fund Schemes

Circular No. SEBI/HO/IMD/DF3/CIR/P/2017/126 - (04/12/2017) - With respect to the Medium Duration Fund and Medium to Long Duration Fund (sr. no. 7 and sr. no. 8 of Section B of the Annexure to the Circular), the characteristics of the scheme shall remain the same under normal circumstances as stated in the circular dated October 6, 2017. ...

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Reg. Circular on Prevention of Unauthorized Trading by Stock Brokers

CIR/HO/MIRSD/MIRSD2/CIR/P/2017/124-SEBI - (30/11/2017) - Brokers are required to maintain the records specified at para III of aforementioned circular for a minimum period for which the arbitration accepts investor complaints as notified from time to time, currently three However in cases where dispute has been raised, such records shall be kept till fina...

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SEBI guideline on appointment of Auditors of Mutual Funds

SEBI/HO/IMD/DF2/CIR/P/2017/125 - (30/11/2017) - Auditors of Mutual Funds: 1. The auditor of a MF, appointed in terms of Regulation 55 (1) of SEBI (MFs) Regulations shall be a firm, including a limited liability firm, constituted under the LLP Act, 2008....

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SEBI modifies guidelines covering broad areas for enhanced supervision

Circular No. SEBI/HO/MIRSD/MIRSD2/CIR/P/2017/123 - (29/11/2017) - Clause 7.1.2 stands modified as follows: End of day securities balances ISIN wise (as on last trading day of the month) and End of day securities balances (as on last trading day of the month) consolidated ISIN wise (i.e., total number of ISINs and total number of securities across all ISINs)...

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Review of Securities Lending and Borrowing (SLB) Framework

CIR/MRD/DP/122 /2017 - (17/11/2017) - Stock Exchanges, Clearing Corporations and Depositories are directed to: i. Take necessary steps to put necessary systems in place for the implementation of the above provisions of this circular. ii. Make necessary amendments to the relevant bye-laws, rules and regulations for the implementation of...

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Recent Posts in "SEBI notifications"

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

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...

Read More
Posted Under: SEBI |

SEBI amends Categorization of Mutual Fund Schemes

Circular No. SEBI/HO/IMD/DF3/CIR/P/2017/126 (04/12/2017)

With respect to the Medium Duration Fund and Medium to Long Duration Fund (sr. no. 7 and sr. no. 8 of Section B of the Annexure to the Circular), the characteristics of the scheme shall remain the same under normal circumstances as stated in the circular dated October 6, 2017. ...

Read More

Reg. Circular on Prevention of Unauthorized Trading by Stock Brokers

CIR/HO/MIRSD/MIRSD2/CIR/P/2017/124-SEBI (30/11/2017)

Brokers are required to maintain the records specified at para III of aforementioned circular for a minimum period for which the arbitration accepts investor complaints as notified from time to time, currently three However in cases where dispute has been raised, such records shall be kept till final resolution of the dispute....

Read More

SEBI guideline on appointment of Auditors of Mutual Funds

SEBI/HO/IMD/DF2/CIR/P/2017/125 (30/11/2017)

Auditors of Mutual Funds: 1. The auditor of a MF, appointed in terms of Regulation 55 (1) of SEBI (MFs) Regulations shall be a firm, including a limited liability firm, constituted under the LLP Act, 2008....

Read More

SEBI modifies guidelines covering broad areas for enhanced supervision

Circular No. SEBI/HO/MIRSD/MIRSD2/CIR/P/2017/123 (29/11/2017)

Clause 7.1.2 stands modified as follows: End of day securities balances ISIN wise (as on last trading day of the month) and End of day securities balances (as on last trading day of the month) consolidated ISIN wise (i.e., total number of ISINs and total number of securities across all ISINs)...

Read More

Review of Securities Lending and Borrowing (SLB) Framework

CIR/MRD/DP/122 /2017 (17/11/2017)

Stock Exchanges, Clearing Corporations and Depositories are directed to: i. Take necessary steps to put necessary systems in place for the implementation of the above provisions of this circular. ii. Make necessary amendments to the relevant bye-laws, rules and regulations for the implementation of the above decision....

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Sebi creates new category of reporting FPI investment in hybrid securities

Circular No. IMD/FPIC/CIR/P/2017/121 (15/11/2017)

In order to capture FPI investment data in hybrid securities, a third category termed as Hybrid Security shall be created for the purpose of capturing and disseminating FPI investment data in hybrid securities....

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SEBI (International Financial Services Centres) Guidelines, 2015 –Amendments

Circular No. SEBI/HO/MRD/DRMNP/CIR/P/2017/120 (14/11/2017)

(i) any entity incorporated in India seeking to raise capital in foreign currency other than Indian rupee which has obtained requisite approval under Foreign Exchange Management Act, 1999 (FEMA) or exchange control regulations as may be applicable; or...

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Online Registration Mechanism & Filing System for Clearing Corporations

circular No. SEBI/HO/MRD/DRMNP/CIR/P/2017/119-SEBI (03/11/2017)

In order to ease the process of application for recognition / renewal, reporting and other filings in terms Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2012 and other circulars issued from time to time...

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SEBI to provide two block deal windows (Morning & Afternoon)

CIRCULAR No. CIR/MRD/DP/118/2017 (26/10/2017)

Based on the deliberations, it has been decided to revise the framework for block deals by providing two block deal windows as follows: 1. Morning Block Deal Window: This window shall operate between 08:45 AM to 09:00 AM. ...

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