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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 (siportal.sebi.gov.in) and these applications are processed at Head Office of SEBI in Mumbai.
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 rights in the company including voting recommendation on agenda items.
Proxy Advisors shall formulate the voting recommendation policies and disclose the updated voting recommendation policies to its clients. Proxy Advisors shall ensure that the policies should be reviewed at least once annually. The voting recommendation policies shall also disclose the circumstances when not to provide a voting recommendation.
1. Definition of a Stock Broker as per SEBI norms: By general definition, a stockbroker is an intermediary having the authority to trade in stocks and securities them on a stock exchange on the behalf of investors. As it is difficult for the investor to directly trade in the stock exchange, he takes the assistance […]
If TM / CM collects minimum 20% upfront margin in lieu of VaR and ELM from the client, then penalty for short-collection / non-collection of margin shall not be applicable. However, it is reiterated that Clearing Corporation shall continue to collect the upfront margin from the TM / CM based on VaR and 2.2 The penalty provision for short-collection / non-collection of upfront margin in cash segment shall be implemented with effect from September 01, 2020.
SEBI has received a representation from the Institute of Company Secretaries of India (ICSI) stating that due to the COVID -19 pandemic and precautionary measures for its curtailment, Company Secretaries continue to face operational challenges in carrying out certification and authentication of documents in physical form.
SEBI has received representations from investors expressing concerns that they have not been able to participate in open offers, buybacks and delisting of securities of listed entities since the securities held by them were not in dematerialized form.
(1) These rules may be called as Securities Contracts (Regulation) (Second Amendment) Rules, 2020. (2) They shall come into force on the date of their publication in the Official Gazette.
The mechanism of pledge / re-pledge shall be implemented with effect from August 01, 2020. Trading member (TM) / Clearing member (CM) shall endeavor to align their systems and accept client collateral and margin funded stocks by way of creation of pledge / re-pledge in the Depository system.
In view of the prevailing situation due to COVID-19 pandemic and representation received from the Depositories, it has been decided to further extend the timelines for compliance with the regulatory requirements by DPs / RTAs / KRAs.
