SEBI notifications - Page 3

CRAs to not treat loan restructuring due to COVID-19 as default

Circular No. SEBI/HO/MIRSD/CRADT/CIR/P/2020/160 (31/08/2020)

Based on its assessment, if the CRA is of the view that the restructuring by the lenders/ investors is solely due to COVID-19 related stress or under the aforementioned RBI framework, CRAs may not consider the same as a default event and/or recognize default. Appropriate disclosures in this regard shall be made in the Press Release....

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Grievance Resolution between listed entities & proxy advisers- Implantation WEF 01.01.2020

Circular No. SEBI/HO/CFD/CMD1/CIR/P/2020/159 (27/08/2020)

Provisions of SEBI Circular dated August 04, 2020 related to ‘Grievance Resolution between listed entities and proxy advisers’ shall also be applicable with effect from January 01, 2021....

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PoA for opening of client demat account is optional: SEBI

Circular No.SEBI/HO/MIRSD/DOP/CIR/P/2020/158 (27/08/2020)

PoA is optional and should not be insisted upon by the stock broker / stock broker depository participant for opening of the client account. PoA executed in favour of stock broker / stock broker depository participant by the client shall be utilized For transfer of securities held in the beneficial owner accounts of the client towards S...

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Procedural Guidelines for Proxy Advisors applicable from 01.01.2021

Circular No. SEBI/HO/IMD/DF1/CIR/P/2020/157 (27/08/2020)

Provisions of said SEBI Circular on Procedural Guidelines for Proxy Advisors applicable shall be applicable with effect from January 01, 2021....

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SEBI Regulatory measures to continue till September 24, 2020

Press Release No. 44/2020-SEBI (26/08/2020)

On review of the COVID-19 pandemic related situation, it has been decided that the regulatory measures introduced vide SEBI Press Release dated March 20, 2020' , shall continue to be in force till September 24, 2020....

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Master Circular for Mutual Funds

Master Circular No. SEBI/HO/IMD/DF2/CIR/P/2020/156 (24/08/2020)

For effective regulation of the Mutual Fund Industry, Securities and 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....

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SEBI (IFSC) Guidelines, 2015-New Clause 8(3) incorporated

Circular No. SEBI/HO/MRD1/DSAP/CIR/P/2020/155 (21/08/2020)

8(3) An entity, based in India or in a foreign jurisdiction, may provide financial services in IFSC, subject to compliance with the applicable regulatory framework/ guidelines for such financial services, as specified by the Board, from time to time...

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SEBI amends Clause 19 of SEBI (IFSC) Guidelines, 2015

Circular No. SEBI/HO/MRD1/DSAP/CIR/P/2020/154 (21/08/2020)

The entities issuing and/or listing their debt securities in IFSC shall prepare their statement of accounts in accordance with IFRS/ US GAAP/ IND AS or accounting standards as applicable to them in their place of incorporation. In case an entity does not prepare its statement of accounts in accordance with IFRS/ US GAAP/ IND AS, a quantit...

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Compliance officer should maintain restricted list of securities on a confidential basis

ISD/OW/2020/134921/1 (19/08/2020)

In terms of Clause 5 of Schedule C of PIT Regulations, compliance officer is responsible for maintaining restricted list on a confidential basis. Such restricted list shall be used by the compliance officer for approving or rejecting applications made for pre-clearance of trades....

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Depositories to maintain Account & Records for 8 Years: SEBI

Circular No. SEBI/HO/MRD2/DDAP/CIR/P/2020/153 (18/08/2020)

Depositories and Depository Participants are required to preserve the records and documents for a minimum period of 8 years. In terms of Regulations 54 and 66 of the SEBI (Depositories and Participants) Regulations, 2018 (herein referred to as D&P Regulations, 2018) notified on October 03, 2018, Depositories and Depository Participants ar...

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September 2020