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The Depositories shall: a) put in place a suitable mechanism to follow up with the DPs, wherever necessary; b) devise a system to levy penalty on DPs for any non-compliance with the requirements specified in para 3 above; c) update the status of the complaints in SCORES, at every stage, along with supporting documents; and d) ensure that the status of investor complaints disclosed on their websites is in conformity with the status updated in SCORES.
In case of any request from these unitholders as detailed above for physical copies notwithstanding their registration of email addresses, AMCs shall provide the same without demur.
n this Quick referencer Author has has made an effort to summaries all the Circulars issued by SEBI from 01st January 2011 to 10th August 2011.Link to Download the Quick Referencer is given at the bottom of the post. Author has covered circulars on following topics in this compilation. 1. Modifications to Client Code Post Trade Execution 2. Introduction of Derivative Contracts on Foreign Stock Indices
NOTIFICATION NO. LAD-NRO/GN/2011-12/27668, DATED 30-8-2011 In exercise of the powers conferred by section 30 of the Securities and Exchange Board of India Act, 1992 (15 of 1992), the Board hereby makes the following regulations to further amend the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996, namely :— 1. These regulations may be called the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 2011.
Please refer to SEBI Circular, dated 26-11-2010 & 31-3-2011, regarding FII investment in the corporate bonds issued by Indian companies which are in the infrastructure sector, where ‘infrastructure’ is defined in terms of the extant guidelines on External Commercial Borrowings (ECB).
CIRCULAR NO. MIRSD/19/2011, DATED 26-8-2011 Henceforth all complaints shall be forwarded electronically through SCORES only. You are hereby directed to view the pending complaints at http://scores.gov.in/admin and submit the ATR along with supporting documents electronically in SCORES. Please note that updation of action taken would not be possible with physical ATRs. Hence, submission of physical ATR will not be accepted for complaints lodged in SCORES.
CIRCULAR NO. MIRSD/18/2011, DATED 25-8-2011 1. SEBI has commenced processing of investor grievances in a centralized web-based complaints redressal system, ‘SCORES’. The salient features of this system are: l Centralized database of all complaints; l Online movement of complaints to the concerned entities; l Online upload of Action Taken Reports (ATRs) by the concerned entities; and l Online tracking of status of complaints by investors.
CIRCULAR NO. CIR/MIRSD/17/2011, Henceforth all complaints to SEBI shall be forwarded electronically through SCORES only. You are hereby directed to view the pending complaints at http://scores.gov.in/admin and submit the ATR along with supporting documents electronically in SCORES. Please note that updation of action taken would not be possible with physical ATRs. Hence, submission of physical ATR will not be accepted for complaints lodged in SCORES.
CIR/MIRSD/16/2011 With a view to simplify and rationalize the account opening process, we have reviewed, consolidated and updated all the documents/requirements prescribed in respect of account opening process over the years, in consultation with major stock exchanges and market participants. The simplification includes replacement of all client-broker agreements with the ‘Rights and Obligations’ document, which shall be mandatory and binding on the existing and new stock brokers (including trading members) and clients. Accordingly, SEBI (Stock Broker and Sub-Broker) Regulations, 1992 have been amended suitably vide notification No. LADNRO/GN/201 1-12/19/26273 dated August 17, 2011.
. It has been represented to SEBI that distributors incur expenditure on traveling and incidentals for reaching investors and procuring business for Mutual Funds. Distributors are also required to set up appropriate infrastructure for servicing investors as well as incur certain expenses while marketing the units of Mutual Funds. In order to enable people with small saving potential and to increase reach of Mutual Fund products in urban areas and smaller towns, it has been decided that a transaction charge per subscription of Rs. 10,000/- and above be allowed to be paid to the distributors of the Mutual Fund products from the date of this circular. However, there shall be no transaction charges on direct investments. The transaction charge shall be subject to the following:
