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Thus in order to have the identity of the trading member’s clients it is necessary to structure the client codes in such a way that identify the actual person to whom the open position belongs.
When the MPR is not matching with SEBI’s data, SEBI would be sending the transaction records, which are not matching, to the custodians for reconciliation. The custodian would thereafter send the records, which are amended, deleted or not reported earlier, in a separate file along with a hard copy of the same by the fifteenth of the current month.
Those brokers who fail to pay fees referred to in clauses (a),(b) & (c) of Regulation 10( Schedule III) of SEBI (Stock Brokers & Sub-Brokers) Rules & Regulations 1992, as on the first day of October of the financial year to which such payment relates or pay short,
These regulations shall be called the Securities and Exchange Board of India (Buy Back of Securities) Regulations, 1998. These regulations shall come into force on the date of their publication in the Official Gazette.
The bank guarantee should be for a minimum period of three years and it should contain a clause which would enable any claim arising during the period of guarantee could be preferred within a period of six months from the expiry of the guarantee.
Further, effective from January 4, 1999, any investor who would have a net delivery obligation of 5000 shares or more in any of the 24 scrips as per Annexure ‘D’, could only do so in dematerialised form.
The Expert Committee appointed by SEBI on the issue of turnover based fees of brokers had recommended that with respect to jobbing transactions identified and included in the turnover as proposed in the said report, concessional rate of fee of one two hundredth of one percent of the jobbing turnover calculated is to be computed.
Infrastructure being an important aspect for economic development and in order to encourage infrastructure projects in India, especially to facilitate financing of setting up of such projects, it has now been decided that the requirement of 5 public shareholders for every Rs. 1 lakh of net capital offer made to the public as communicated vide our Circular
The Stock Exchanges are advised to take note of change in the procedure by RBI for issue and export of shares by Indian companies to NRI investors as provided in the referred Press Release and ensure compliance regarding obtaining certificate from the Company that all share certificates including certificate to NRI investors have been despatched before listing or trading permission is granted.
Please refer to our Circular No. SMD/Policy/Cir.19/2435/98 dated July 29, 1998 advising inter alia, the list of scrips for compulsory settlement of trades in demat form for the Institutional Investors, viz., Domestic Financial Institutions, Banks, Mutual Funds and Foreign Institutional Investors and Overseas Corporate Bodies.
