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SEBI, in its endeavor, to make processing of application for registration/renewal simpler, speedier and effective, advise all the existing/prospective ‘Portfolio Managers.
the Exchanges shall also be required to inform SEBI within 7 days from the date of submission of the relevant audited results of cases where companies have failed to remove audit qualifications.
Though the brokers were legally bound to pay the fees as per the regulations, vide clause (v) of Part A of the said circular, it was also informed that those brokers, who had not paid fees, should pay atleast 50% of the principal due in the cash.
Any non compliance by the issuer company shall be viewed seriously and suitable action shall be initiated under the Depositories Act, 1996 against the issuer company and its Directors.
SEBI Advisory Committee on Derivatives has clarified certain types of transactions with illustrative examples which may be considered as hedging and portfolio balancing.
They shall confirm that the dematerialisation requests have been processed within 21 days and shall also state the reasons for shares pending confirmation for more than 21 days from the date of request.
It has therefore been decided that all the work related to share registry in terms of both physical and electronic should be maintained at a single point i.e. either in-house by the company or by a SEBI registered R & T Agent.
SEBI vide circular SMD/Policy/Cir-17/2002 dated July 03, 2002 provides that the list of companies which are required to file documents/statements on-line shall be specified by SEBI from time to time.
FII registration /renewal fees have been reduced from US$ 10,000 to US $ 5,000/. Further, documentation required to be enclosed along with FII registration/ renewal applications have also been simplified and curtailed.
Separation of Cash and Derivative Segment of an Exchange and its Clearing House/Corporation. The Dr. L.C Gupta Committee on Derivatives had permitted exiting stock exchanges having cash trading to trade in derivative contracts through a separate segment with separate membership.
