SEBI notifications notification

Shri G P Garg takes charge as Executive Director, SEBI

Press Release No. 42/2020 (14/08/2020)

Shri G P Garg took charge as Executive Director in SEBI on August 13, 2020. Prior to his promotion as Executive Director, Shri Garg was Chief General Manager in SEBI and has handled several important assignments in SEBI since joining in January 1994. He has been closely associated with SEBI’s initiatives on Financial Literacy and Invest...

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SEBI SOP- Handling of complaints by stock exchanges & Action for failure to redress investor complaints

Circulars No, SEBI/HO/OIAE/IGRD/CIR/P/2020/152 (13/08/2020)

Investor grievances redressal mechanism – Handling of SCORES complaints by stock exchanges and Standard Operating Procedure for non-redressal of grievances by listed companies....

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SEBI provides Administrative support for Trustees of Mutual Funds

Circular No. SEBI/HO/IMD/DF4/CIR/P/2020/0000000151 (10/08/2020)

SEBI, in its interactions with the Trustees had received feedback for providing administrative assistance to Trustees in monitoring various activities of the AMCs. Trustees shall appoint a dedicated officer having professional qualification and minimum 5 years of experience in finance and financial services related field....

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SEBI amends SEBI (IFSC) Guidelines, 2015

Circular No. SEBI/HO/MRD2/DCAP/CIR/P/2020/149 (07/08/2020)

Any Indian recognized stock exchange or clearing corporation, or, any recognized stock exchange or clearing corporation of a foreign jurisdiction shall form a subsidiary to provide the services of clearing corporation in IFSC wherein at least fifty one per cent. of paid up equity share capital is held by such stock exchange or clearing co...

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Administration & Supervision of Investment Advisers by stock exchange subsidiary

Circular No. SEBI/HO/IMD/DF1/CIR/P/2020/148 (06/08/2020)

SEBI decided to recognize a wholly-owned subsidiary of the stock exchange (stock exchange subsidiary) to administer and supervise Investment Advisers registered with SEBI....

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SEBI (Listing Obligations and Disclosure Requirements) (Second Amendment) Regulations, 2020

Notification No. SEBI/LAD-NRO/GN/2020/25 (05/08/2020)

1. These regulations may be called the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Second Amendment) Regulations, 2020. 2. They shall come into force on the date of their publication in the Official Gazette....

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SEBI (Employees’ Service) (Amendment) Regulations, 2020

Notification No. SEBI/ LAD-NRO/GN/2020/26 (05/08/2020)

1. These regulations may be called the Securities and Exchange Board of India (Employees' Service) (Amendment) Regulations, 2020. 2. They shall come into force on the date of their publication in the Official Gazette....

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Govt extends tenure of SEBI Chairman Ajay Tyagi upto Feb 2022

Notification No.18/5/2017-Eo(SM.II) (05/08/2020)

The Appointments Committee of the Cabinet has approved the extension of term of appointment of Shri Ajay Tyagi, IAS (HP:1984) (Retd.) as Chairman, Securities & Exchange Board of India (SEBI) for a further period of 18 months w.e.f. 01.09.2020 upto 28. 02.2022 or until further orders, whichever is earlier....

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Decentralization of work related to Registration of Portfolio Managers

Press Release No. 41/2020-SEBI (04/08/2020)

SEBI is granting registration to the applicants fulfilling the compliance of the various provisions of SEBI (Portfolio Managers) Regulations, 2020. At present, applicants submit their registration applications for Portfolio Managers through SEBI Intermediary Portal ( and these applications are processed at Head Office...

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Grievance Resolution between listed entities & proxy advisers

Circular No. SEBI/HO/CFD/CMD1/CIR/P/2020/119 (04/08/2020)

Proxy advisors, over the past few years, have played a key role in enabling shareholders to effectively participate in corporate governance decisions and thus, furthering the achievement of the above objectives. Proxy advisors provide advice to institutional investors / shareholders of a listed entity, in relation to exercise of their rig...

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August 2020