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it is observed that several applications from sub-brokers received through your Exchange are pending, inter-alia, for want of confirmation of execution of agreement, etc. A list of such pending applications is enclosed for your perusal.
With reference to our letter no.SMD-I(N)/JJ/2331/95 dated June 26, 1995, it has been decided that the requirement of submitting Cash Flow Statement by the companies along with the Annual Report is to be made effective for the accounts prepared by the companies from the financial year 1995-96.
If the terms of offer of the rights issue are subsequently changed, it will be the lead manager’s responsibility to compensate the buyers or sellers in the market.
Amendments to Regulations of your exchange would be required to give effect to these new guidelines. Therefore, you are requested to make necessary amendments in your regulations and confirm the compliance thereof by June 21, 1995. Please send a copy of the amended regulations for our record.
In order to ensure timely and proper dissemination of price sensitive information, company news and to improve co-ordination between exchanges, so as to bring uniformity in decisions regarding trading restrictions/permissions,
It is observed that corporate applicants recently being admitted into various Stock Exchanges are engaged in businesses other than securities business like ICDs, leasing, hire purchase and bill discounting due to which SEBI is not in a position to consider their registration.
All bankers to an issue are hereby advised to submit quarterly reports for each quarter of the year and annual report for each financial year in respect of their activities as per formats enclosed. The quarterly report must be submitted within 3 weeks of the last day of the quarter and the annual report must be submitted within 2 months of the close of the financial year.
In some cases the aggrieved party has a right of appeal to the Governing Board/Council of Management against the decision of the Committee.
With reference to sub-clause (C) of Clause 24 as mentioned in our above letter, it is clarified that SEBI Directive no. C.III dated August 13, 1992 is operative.
The exchange is advised to inform us about the steps taken in this regard not later than April 10, 1995. The exchanges must also send a report to SEBI indicating the trading floor volumes and off-exchanges volumes separately.
