SEBI notifications - Page 2

Recent amendment on Business Responsibility Reporting (BRR)

SEBI expands the ambit of Business Responsibility Reporting (BRR) by notification No. SEBI/LAD-NRO/GN/2019/45 dated 26.12.2019 (Securities and Exchange Board of India – Listing Obligations and Disclosure Requirements) (Fifth Amendment) Regulations, 2019. Before discussing the amendments, first we understand the concept and relevant ...

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Dealing in securities by promoters – Insider Trading Regulation

Understanding Provisions w.r.t, dealing of securities by promoters in the light of SEBI (Prohibition of Insider Trading Regulation) 2015 The objective of the SEBI (Prohibition of Insider Trading) Regulations, 2015 (“PIT Regulations”) is to prevent Insider Trading by prohibiting trading, communicating, counseling or procuring Unpublish...

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SEBI Strengthens rating process in respect of ‘INC’ ratings

Circular No. SEBI/HO/MIRSD/CRADT/CIR/P/2020/2 (03/01/2020)

In order to further strengthen the rating process of the CRAs with regard to ‘Issuer not cooperating’ (INC) ratings, following directions are being issued: a. If an issuer has all the outstanding ratings as non-cooperative for more than 6 months, then the CRA shall downgrade the rating assigned to the instrument of such issuer to non-...

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Contribution by a non-defaulting member in Default waterfall of Clearing Corporations

Circular No. SEBI/HO/MRD2/DCAP/CIR/P/2020/01 (03/01/2020)

SEBI amends provisions of guidelines pertaining to Core Settlement Guarantee Fund and Default Waterfall for Clearing Corporations- It amends clauses related to Further Contribution to/ Recoupment of Core SGF and Capped additional contribution by non-defaulting members of the segment. Circular No. SEBI/HO/MRD2/DCAP/CIR/P/2020/01 Dated:  J...

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SEBI (Issue of Capital and Disclosure Requirements) (Seventh Amendment) Regulations, 2019

Notification No. SEBI/LAD-NRO/GN/2020/1 (01/01/2020)

1. These regulations may be called the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Seventh Amendment) Regulations, 2019. 2. They shall come into force on the date of their publication in the Official Gazette....

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SEBI Measures to strengthen conduct of Investment Advisers (IA)

SEBI/HO/IMD/DF1/CIR/P/2019/169 (27/12/2019)

Securities and Exchange Board of India (Investment Advisers) Regulations, 2013 (IA Regulations) provides for code of conduct to be followed by IAs. In order to further strengthen the conduct of IAs, while providing investment advice and to protect the interest of investors seeking their advice, the IAs shall comply with the following:...

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SEBI (Listing Obligations and Disclosure Requirements) (Fifth Amendment) Regulations, 2019

Notification No. SEBI/LAD-NRO/GN/2019/45. (26/12/2019)

Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Fifth Amendment) Regulations, 2019 comes into effect from 26th December, 2019....

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SEBI (Issue of Capital and Disclosure Requirements) (Sixth Amendment) Regulations, 2019

Notification No. SEBI/LAD-NRO/GN/2019/47 (26/12/2019)

SEBI notifies Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Sixth Amendment) Regulations, 2019 vide Notification No. SEBI/LAD-NRO/GN/2019/47 dated 26th December, 2019. SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 26th December, 2019 SECURITIES AND EXCHANGE BOARD OF INDIA (ISSUE O...

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Discussion Paper on ‘Usage of pool accounts in Mutual Fund Transactions’

i. Pooling of funds/units by Stock Brokers, MFDs, IAs and other platforms may be discontinued for Mutual Fund Transactions. For implementation of the same, following may be ensured:...

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Stewardship Code mandatory for Mutual Funds & AIFs wef 01.04.2020

Circular No. CIR/CFD/CMD1/168/2019 (24/12/2019)

It has now been decided that all Mutual Funds and all categories of AIFs shall mandatorily follow the Stewardship Code, in relation to their investment in listed equities. The Stewardship Code shall come into effect from the Financial Year beginning April 01, 2020....

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