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The transferor has paid SEBI turnover fee for all the previous years including that related to transactions of current year. There are no fee dues payable to SEBI by the transferor member.
There may as well be some other implications regarding the listing of such companies and hence, we would like to have the views of all the recognised stock exchanges in the matter.
You may like to bring to the notice of members that non-payment of requisite fee in time will attract penal provision as prescribed under SEBI (Stock Brokers and Sub-Brokers) Rules and Regulations, 1992.
It is therefore suggested that a provision in the bye-laws may be incorporated regarding the use of the auction proceeds, whereby claims of SEBI will be treated on par with the claims of the exchange and the clearing house.
‘The statement shall be issued under the authority of the Board and shall be signed on behalf of the Board of directors in the manner provided for authentication of Balance-sheet and Profit and Loss Account in Section 215 of the Companies Act, 1956.”
Third Schedule was inserted by SEBI (Depositories and Participants) (Third Amendment) Regulations, 2003 published in the Official Gazette of India dated 01.10.2003.
Explanation : for the purpose of this clause a public shareholder shall mean a person who is neither a promoter nor does he hold more than 1% equity capital of the company”.
It has been observed while processing the application that the Sub-brokers are still making incomplete applications, which is causing unnecessary delay in process of registration.
Although the Stock Exchanges have been sending D.O. letters to SEBI more or less on a regular basis, it is observed that the required information is not furnished by them on a uniform basis. Each stock exchange has devised its own format for reporting monthly developments.
SEBI is required to send a monthly report on the share price movements, turnover and delivery etc., at the major Stock Exchanges to the Ministry of Finance.
