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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...
SEBI : In re Dwitiya Trading Limited (SEBI) The conduct of the Noticee in not paying heed to the summonses issued by SEBI and resultant n...
SEBI : In re Reliance Industries Ltd (SEBI) It was observed by RIL has entered into a scheme of manipulative trades in respect of the sal...
SEBI : Securities and Exchange Board of India (SEBI) has amended its regulations governing Real Estate Investment Trusts (REITs) with the...
SEBI : SEBI recognizes BSE as the Research Analyst and Investment Adviser Supervisory Body (RAASB and IAASB) for five years starting July...
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SEBI : SEBI updates Credit Rating Agencies Regulations, defining "liquid asset" and ensuring effective rating processes. Learn about the ...
SEBI : Explore SEBI's latest Master Circular on surveillance of securities markets, covering trading rules, insider trading regulations, ...
SEBI (Merchant Bankers) Regulations, 1992 have been amended vide notification no. LAD-NRO/GN/201 1-12/40/7335 dated March 29, 2012, a copy of which is available on SEBI website www.sebi.gov.in. With the said amendment, merchant bankers are required to submit a periodic report in such manner as may be specified by the Board from time to time. Further, in terms of SEBI Circular No. MIRSD/DPS-2/MB/Cir-16/2008 dated May 06, 2008, merchant bankers are required to submit half-yearly report in electronic form.
Master Circular IMD/MC No.3/10554/2012, dated 11-5-2012 For effective regulation of the Mutual Fund Industry, Securities & Exchange Board of India (SEBI) has been issuing various circulars from time to time. In order to enable the industry and other users to have an access to all the applicable circulars at one place, Master Circular for Mutual Funds has been prepared.
Merchant Bankers are further advised to file three copies of the draft offer documents/one copy of the offer documents with the office indicated above.
exercise of the powers conferred by Section 30 of the Securities and Exchange Board of India Act, 1992 (15 of 1992), the Board hereby makes the following regulations to further amend the Securities and Exchange Board of India (Employees’ Service) Regulations, 2001
SEBI has been allocating FII debt limits through open bidding platform since February 2009 as and when free limits are available. The utilisation status of FII debt limits and the free limits available as on 15th of every month and at the end of every month are being disseminated on SEBI website.
SEBI had issued Circular No.EFD/ED/Cir.-01/2007 dated 20th April 2007, providing the framework for passing of consent orders and for considering requests for composition of offences. On the basis of the experience gained and with the purpose of providing more clarity on its scope and applicability, the circular has been modified.
It has been decided to carry out consequential amendments to Clause 41 of the Listing Agreement regarding interim disclosure of financial results by listed entities to the stock exchanges, which has been drawn from the format under Schedule VI of the Companies Act, 1956. Accordingly, the format for the said disclosure has been given in Annexure.
SEBI has commenced processing of investor complaints in a centralized web based complaints redress system ‘SCORES’. Pursuant to SEBI Circular no. CIR/OIAE/2/201 1 dated June 03, 2011 on the captioned subject, all listed companies are required to obtain authentication on SCORES.
SEBI simplified the account opening process for investors and made it uniform across intermediaries in the securities markets vide aforementioned circulars. Further, to avoid duplication of KYC process with every intermediary, KRA system was developed for centralization of the KYC records in the securities markets. The system was made applicable for new clients who opened accounts with the intermediaries from January 1, 2012.
In the event of disaster, the disruption in trading system of stock exchanges / depository system may not only affect the market integrity but also the confidence of investors. In order to address this issue, the current BCP – DR setups of some of the stock exchanges having nation-wide terminals and depositories were examined by the Technical Advisory Committee of SEBI (TAC). Based on the recommendations of TAC, the broad guidelines for BCP – DR are given below: