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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:
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.
However, if an issuer is required to prepare financial results for the purpose of consolidated financial results of its parent company in terms of Regulation 33 of SEBI LODR Regulations, such issuers shall submit financial results in terms of para 1.1 above or shall submit quarterly financial results that have been prepared for the purpose of consolidation of their parent company.
Process for Investments made in the name of a Minor through a Guardian- Payment for investment by means of Cheque, Demand Draft or any other mode shall be accepted from the bank account of the minor or from a joint account of the minor with the guardian only. For existing folios, the AMCs shall insist upon a Change of Pay-out Bank mandate before redemption is processed.
A listed entity is, inter alia, required to submit to the stock exchange, a statement of deviation or variation, pursuant to review by the audit committee, on a quarterly basis for public issue, rights issue, preferential issue etc. indicating, > deviations, if any, in the use of proceeds of public issue, rights issue, preferential issue etc. and > the category wise variation between projected utilisation of funds and the actual utilisation of funds.
Office of Informant Protection (‘OIP’): OIP has been established by SEBI as an independent office for receiving and processing Voluntarily Information Disclosure Form(s) (VID Form).
The following clarification is issued to the InvITs which are issuing units on private placement basis that are proposed to be listed: a. InvITs, wherein units are issued by way of private placement and which are proposed to be listed, shall file a draft placement memorandum with the Board and stock exchange(s) through a merchant banker registered with the Board not less than thirty days prior to opening of the issue.
These regulations may be called the Securities and Exchange Board of India (Foreign Portfolio Investors) (Amendment) Regulations, 2019. These regulations shall come into force on the date of their publication in the Official Gazette.
i. AMCs may provide management and advisory services in terms of Regulation 24(b) of MF Regulations to FPIs falling under the following categories of FPIs as specified in FPI Regulations: a. Government and Government related investors such as central banks, sovereign wealth funds, international or multilateral organizations or agencies including entities controlled or at least 75% directly or indirectly owned by such Government and Government related investor(s);
SEBI gives utmost importance to all complaints either received anonymous or otherwise and takes necessary action after verifying the contents. However, SEBI may not be able to handle complaints which are anonymous and not specific or substantiated or verifiable.
