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In exercise of the powers conferred upon SEBI, under section 11 of the SEBI Act, 1992, as also in implementation of the provisions of the SEBI (Registrars to an Issue and Share Transfer Agents), Regulations, 1993, the present circular is hereby issued to all Registrars to an Issue/Share Transfer Agents.
Delivery and payment for all “hand delivery” trades (including Trade for Trade, Negotiated Trades, Cross Deals, Bulk Deals, etc.) must be completed within the time or on the date stipulated when entering into the deal which time shall not be more than 7 days following the date of the contract.
The application should be forwarded to SEBI with the registration certificate of the transferor member/ corporate and this registration would be cancelled..
In this regard, questionnaire were sent to all Registrars to an Issue/Share Transfer Agentson September 19, 1998 and a reminder was sent on October 15, 1998. It is observed that many Intermediaries have not responded and in some cases their system is not Y2K compatible. It is advised that all Registrars to an Issue/Share Transfer Agents shall ensure that their system is Y2K compatible on or before June 30,
The Year 2000 problem poses a significant challenge for the securities market and other related activities. Failure to address this issue in timely manner would cause operational problems to all the institutions operating in the securities market, even to the extent of disruption of financial markets.
We have taken note of the suggestions made by the custodians for modifications in the database. While these suggestions are being examined, the custodians may defer the submission of old FII investment data for the time being.
The existing threshold limit followed by the exchanges for purpose of levying margins would be reduced to Rs. One crore for the purposes Gross Exposure and Rs.50 lakhs for Net Exposure. There would not be any change for exchanges where these limits are already less than the limits mentioned above i.e. Rs. One crores and Rs.50 lakhs respectively.
Stock exchanges which have not established connectivity with the depository for dematerialised trading may continue to accept delivery in physical form for the scrips announced for compulsory delivery by all investors in dematerialised form, till such time the exchange establishes connectivity with the depository or July 1, 1999, whichever is earlier.
Please refer to our circular no. SMD-I/22532 dated October 19, 1993 whereby codes were allotted to different Stock Exchanges. As you are aware that SEBI has recently recognised Inter Connected Stock Exchange(ICSE). Accordingly ICSE has been allotted Code No. 24 and the members will be issued registration number beginning with INB24.
Central Board of Direct Taxes vide its notification dated October 09, 1998 (copy enclosed) has made it mandatory for every person to quote his/her PAN/GIR in all documents pertaining to any contract of a value exceeding ten lakh rupees for sale or purchase of securities as defined in Clause (h) of Section 2 of the SCRA.
