SEBI notifications - Page 30

Cyber Security & Cyber Resilience framework for KYC Registration Agencies

SEBI/HO/MIRSD/DOP/CIR/P/2019/111 (15/10/2019)

Since KYC Registration Agencies (KRAs) perform important function of maintaining KYC records of the clients in the securities market, it is desirable that KRAs have robust Cyber Security and Cyber Resilience framework in order to provide essential facilities and perform systemically critical functions relating to securities market....

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Cyber Security & Cyber Resilience framework for Qualified Registrars to an Issue / Share Transfer Agents

Circular No. SEBI/HO/MIRSD/DOP/CIR/P/2019/110 (15/10/2019)

Quarterly reports containing information on cyber-attacks and threats experienced by QRTAs and measures taken to mitigate vulnerabilities, threats and attacks including information on bugs / vulnerabilities / threats that may be useful for other QRTAs should be submitted to SEBI in soft copy to

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Cyber Security & Cyber Resilience framework for Stock Brokers / Depository Participants – Clarifications

SEBI/HO/MIRSD/DOP/CIR/P/2019/109 (15/10/2019)

With regard to periodic audit as specified in paragraph 58 of Annexure 1 of the SEBI circular dated December 03, 2018, it has been decided that auditors qualified in following certifications can audit the systems of depository participants and stock brokers to check the compliance of Cyber Security and Cyber Resilience provisions:...

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SEBI Guidelines to Combat Money Laundering and Terrorist financing

SEBI/ HO/ MIRSD/ DOP/ CIR/ P/ 2019/113 (15/10/2019)

SEBI Guidelines on Anti-Money Laundering (AML) Standards and Combating the Financing of Terrorism (CFT)/Obligations of Securities Market Intermediaries under the Prevention of Money Laundering Act, 2002 and Rules framed there under...

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Framework for issue of Depository Receipts

SEBI/HO/MRD/DOP1/CIR/P/2019/106 (10/10/2019)

Listed Company is in compliance with the requirements prescribed under SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 and any amendments thereof....

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Mutual fund allowed to invest in unlisted Non-Convertible Debentures

Circular No. SEBI/HO/IMD/DF2/CIR/P/2019/104 (01/10/2019)

Mutual fund schemes may invest in unlisted Non-Convertible Debentures (NCDs) not exceeding 10% of the debt portfolio of the scheme subject to the condition that such unlisted NCDs have a simple structure (i.e. with fixed and uniform coupon, fixed maturity period, without any options, fully paid up upfront, without any credit enhancements ...

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SEBI (Issue and Listing of Debt Securities by Municipalities) (Amendment) Regulations, 2019

Notification No. SEBI/LAD-NRO/GN/2019/40 (27/09/2019)

These regulations may be called the Securities and Exchange Board of India (Issue and Listing of Debt Securities by Municipalities) (Amendment) Regulations, 2019....

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SEBI (Foreign Portfolio Investors) Regulations, 2019

Notification No. SEBI/LAD-NRO/GN/2019/36 (23/09/2019)

(1) These regulations may be called the Securities and Exchange Board of India (Foreign Portfolio Investors) Regulations, 2019. (2) They shall come into force on the date of their publication in the Official Gazette....

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Position Limits in Interest Rate Derivatives (IRD)

Circular No. SEBI/HO/MRD/CIR/P/2019/103 (26/09/2019)

Based on the consultations held with stock exchanges, it has been decided to review the extant position limits in Interest Rate Derivatives as under: (i) Banks and Primary Dealers dealing as clients shall have same position limits as are applicable to Trading Members....

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Disclosure of Default / Inter Creditor Agreement (ICA) by listed companies

LIST/COMP/29/2019-20 (24/09/2019)

With a view to provide for early recognition, reporting and time bound resolution of stressed assets, RBI vide circular dated June 07, 2019 had issued certain directions to Scheduled Commercial Banks, All India Term Financial Institutions (such as NABARD, NHB, EXIM Bank, SIDBI), Small Finance Banks, Systematically Important Non-Deposit ta...

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September 2020