SEBI notifications - Page 4

Guidelines for filing of placement memorandum – InvITs proposed to be listed

Circular No. SEBI/HO/DDHS/DDHS/CIR/P/2019/161 (24/12/2019)

The following clarification is issued to the InvITs which are issuing units on private placement basis that are proposed to be listed: a. InvITs, wherein units are issued by way of private placement and which are proposed to be listed, shall file a draft placement memorandum with the Board and stock exchange(s) through a merchant banke...

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SEBI (Foreign Portfolio Investors) (Amendment) Regulations, 2019

Notification No. SEBI/LAD-NRO/GN/2019/44 (19/12/2019)

These regulations may be called the Securities and Exchange Board of India (Foreign Portfolio Investors) (Amendment) Regulations, 2019. These regulations shall come into force on the date of their publication in the Official Gazette....

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Management and advisory services by AMCs to Foreign Portfolio Investors

Circular No. SEBI/HO/IMD/DF2/CIR/P/2019/155 (16/12/2019)

i. AMCs may provide management and advisory services in terms of Regulation 24(b) of MF Regulations to FPIs falling under the following categories of FPIs as specified in FPI Regulations: a. Government and Government related investors such as central banks, sovereign wealth funds, international or multilateral organizations or agencies in...

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SEBI may not take action on anonymous or unverifiable complaints

Press Release No.: 29/2019-SEBI (11/12/2019)

SEBI gives utmost importance to all complaints either received anonymous or otherwise and takes necessary action after verifying the contents. However, SEBI may not be able to handle complaints which are anonymous and not specific or substantiated or verifiable....

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Offer Document filing for issues of size upto Rs. 750 crores- Reg

Circular No. CFD/DIL1/CIR/P/2019/0000000154 (11/12/2019)

It has been decided that the draft offer documents in respect of issues of size upto Rs. 750 crores shall be filed with the concerned regional office of the Board under the jurisdiction of which the registered office of the issuer company falls....

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Checklist for Obtaining ISIN for Unlisted Public Companies

Pursuant to Companies (Prospectus and allotment of Securities) Rules, 2014, every unlisted public company is required to secure International Security Identification Number (ISIN) for each type of security and facilitate dematerialisation of all its existing securities. To obtain a fresh ISIN, a company has to approach a SEBI registered R...

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Group Level Exposure Provisions for mutual funds for investment- Amended

Circular No. SEBI/HO/IMD/DF2/CIR/P/2019/152 (10/12/2019)

Securities and Exchange Board of India CIRCULAR SEBI/HO/IMD/DF2/CIR/P/2019/152 December 10, 2019 All Mutual Funds (MFs)/ Asset Management Companies (AMCs)/ Trustee Companies/ Board of Trustees of Mutual Funds/ Association of Mutual Funds in India (AMFI) Sir / Madam, Subject: Review of investment norms for mutual funds for investment in  ...

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SEBI (Issue of Capital And Disclosure Requirements) (Fifth Amendment) Regulations, 2019

Notification No. SEBI/LAD-NRO/GN/2019/42. (06/12/2019)

1. These regulations may be called the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Fifth Amendment) Regulations, 2019. 2. They shall come into force on the date of their publication in the Official Gazette....

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Cut-off Time for Determining Minimum Threshold of Margins to be Collected from Clients

Circular No. SEBI/HO/CDMRD/DRMP/CIR/P/2019/149 (29/11/2019)

a. For the purpose of determining minimum threshold of margins to be collected by members from their clients, cut off time shall be kept as 5:00 b. Risk Parameter File (RPF) to be generated at cut-off time shall be applied on clients’ EOD portfolio for the purpose of determining minimum threshold of margin to be collected from clients b...

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Norms for Debt Exchange Traded Funds (ETFs)/Index Funds

Circular No. SEBI/HO/IMD/DF3/CIR/P/2019/147 (29/11/2019)

The following norms are prescribed for Debt ETFs/Index Funds to be adopted by all AMCs: (a) The constituents of the index shall be aggregated at issuer level. (b) The index shall have a minimum of 8 issuers. (c) No single issuer shall have more than 15% weight in the index. (d) The rating of the constituents of the index shall...

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