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The intermediary may, if he so desires, make a representation for dispensing with the procedure, along with the application, for surrender in terms of the first proviso to regulation 16(1) of the SEBI ( Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty ) Regulations, 2002 in the prescribed format (enclosed with the Circular).
This clarificatory circular is being issued in exercise of powers conferred under Section 11 (1) of the Securities and Exchange Board of India Act, 1992, read with Regulation 16A of the SEBI (Central Database of Market Participants) Regulations, 2003
In the Securities and Exchange Board of India (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002, in regulation 13, in sub-regulation
AND WHEREAS the Board has received representations about undue hardship which may be caused by insistence on strict compliance with the above time limit in respect of certain specified investors whose promoters or directors are persons resident outside India
Provided that in case of acquisition of shares or voting rights or control in a target company where the public shareholding is below the limit specified for the purpose of listing on continuous basis in terms of the Listing Agreement with the stock exchange,
This circular is being issued in exercise of powers conferred under Section 11 (1) of the Securities and Exchange Board of India Act, 1992 to protect the interests of investors in securities and to promote the development of, and to regulate the securities market.
The change in status and constitution of the affiliating broker would not constitute change in status and constitution of the sub-broker. However, if the change in status and constitution of the affiliating broker results in a fresh registration for the broker,
This circular is being issued in exercise of the powers conferred by Section 11(1) of Securities and Exchange Board of India Act, 1992, read with Section 10 of the Securities Contracts (Regulation) Act, 1956, to protect the interest of investors in securities and to promote the development of, and to regulate the securities market.
A copy of this circular is available at the web page “F.I.I.” on our website www.sebi.gov.in . The custodians are requested to bring the contents of this circular to the notice of their FII clients.
This clarificatory circular is being issued in exercise of powers conferred under Section 11 (1) of the Securities and Exchange Board of India Act, 1992, read with Regulation 16A of the SEBI (Central Database of Market Participants) Regulations, 2003 to protect the interest of investors in securities and to promote the development of, and to regulate the securities market.
