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It has came to the notice of SEBI that some FIIs are issuing derivative/financial instruments against underlying Indian securities
These instructions are issued under regulation 20 of SEBI (Foreign Institutional Investors) Regulations, 1995 and shall come in force with effect from the month of October 2001.
It has come to the notice of SEBI that certain brokers and sub-brokers are advertising their business in prohibition of Clause C(4) and C(5) of the Code of Conduct specified in Schedule II of Regulation 7 and Clause C(5) and C(6) of the Code of Conduct specified in Schedule II of Regulation 15 of SEBI.
In view of the representations and the difficulties expressed by Chambers and Companies, it has been decided to make the Segment Reporting requirement voluntary for the quarter ended September 30, 2001.
It has been brought to our notice that some of the companies are not utilizing the facility of ECS for distributing dividends, or other cash benefits etc., to the investors.
The Exchanges are advised to take note of the above clarifications regarding disclosure of segment information prescribed under Clause 41 of the Listing Agreement and ensure compliance by companies.
Where the investor has complained about issuing of duplicate share certificate(s) by the company on the basis of allegedly forged/stolen documents furnished by a third party, the company shall verify and satisfy itself of the claim of the investor.
mutual funds shall also disclose the portfolios on their web sites in the prescribed format before the expiry of one month from the close of each half-year.
directly or indirectly, by himself, or in combination with other persons, exercises control over the stock broker,whether individual, body corporate or firm or holds substantial share of not less than 15% in the capital of such entities,
SEBI vide its circular no. SMD/POLICY/CIR-24/97 dated September 26, 1997 had, inter alia, stated that if associates of defaulter-broker are holding membership in other stock exchanges, then action.
