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SEBI : In Re Udit Todi & 13 Others (Securities and Exchange Board of India) Capital markets regulator Sebi on Monday barred 14 enti...
Goods and Services Tax : Kasturba Health Society Vs Union of India (Bombay High Court) On going through the impugned orders challenged here, we find that t...
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With an objective to develop debt markets and encourage transition of trading in debt instruments from OTC markets to stock exchanges, SEBI issued Guidelines for providing dedicated Debt Segment on Stock Exchanges vide circular no CIR/MRD/DP/03/2013 dated January 24, 2013.
Eligible foreign investors investing under Portfolio Investment Scheme (‘PIS’) route shall be classified as Category I, II and III as provided in Annexure A. The intermediary shall follow risk based Know Your Client norms. Accordingly, certain clarifications are hereby issued, as given in Annexure B, based on the category of these investors.
Shri S Raman, Whole Time Member, SEBI has passed an order dated September 6, 2013, in the matter of synchronized trading by connected persons and issued directions restraining from accessing the capital market and prohibiting from buying, selling or otherwise dealing in the securities market, directly or indirectly, for a period mentioned against the entities..
SEBI has issued directions to MCX-SX Limited and MCX-SX Clearing Corporation Limited (MCX-SXCCL) to strengthen their governance structure while granting the renewal of recognition to MCX-SX Limited for a period of one year commencing from September 16, 2013. The conditions imposed by SEBI are :
For the purposes of this sub-regulation, for the removal of doubts, it is clarified that the acts or omissions listed in this sub-regulation are not exhaustive and that an act or omission is prohibited if it falls within the purview of regulation 3, notwithstanding that it is not included in this sub-regulation or is described as being committed only by a certain category of persons in this sub-regulation.
An FMI should have clear and comprehensive rules and procedures and should provide sufficient information to enable participants to have an accurate understanding of the risks, fees, and other material costs they incur by participating in the FMI. All relevant rules and key procedures should be publicly disclosed.
Please refer to SEBI circular SMDRPD/Policy/Cir-37/2001 dated June 28, 2001 directing stock exchanges to implement an index based market wide circuit breaker system to affect a coordinated trading halt in all equity and equity derivative markets on index movement either way of 10%, 15% and 20%.
The right of recognised clearing corporation(s) to recover the dues from its clearing members, arising from the discharge of their clearing and settlement functions, from the collaterals, deposits and the assets of the clearing members, shall have priority over any other liability of or claim against the clearing members.
SEBI would like to appreciate the effort and time that has been put in by IMF and World Bank team to assess the Indian securities market including the securities settlement systems and central counterparties in the securities markets. The third party assessments and suggestions like the ones provided by the FSAP are very important to us as it highlights areas that may contribute toward further improvement of the system.
These Guidelines shall be applicable in case of investment / trading by CRAs and Access Persons connected to CRAs and in case of disclosures to all employees of CRAs.
