SEBI notifications - Page 3

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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Posted Under: SEBI |

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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Framework for listing of Commercial Paper-Amendments

Circular No. SEBI/HO/DDHS/DDHS/CIR/P/2019/167-SEBI (24/12/2019)

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 purpos...

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Process for Investments in Mutual Fund in the name of a Minor

SEBI/HO/IMD/DF3/CIR/P/2019/166 (24/12/2019)

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 mandat...

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SEBI notifies Statement of Deviation / Variation in utilisation of funds raised

CIR/CFD/CMD1/162/2019 (24/12/2019)

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 iss...

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Informant policy related to insider trading laws wef 26.12.2019

PR No.31/2019 (24/12/2019)

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)....

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