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(1) These regulations may be called the Securities and Exchange Board of India (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Markets) Regulations, 2003. (2) They shall come into force on the date of their publication in the Official Gazette.
In exercise of the powers conferred by section 30 of the Securities and Exchange Board of India the Board hereby makes the regulations to amend the Securities and Exchange Board of India (Prohibi Regulations, 1992, namely
Regarding clause 1.4, the approval from the compliance officer for carrying out a transaction of sale or purchase of a security by the access person shall be valid for one week to be in tandem with SEBI (Insider Trading) Regulations instead of the existing requirement of 10 calendar days.
Change in name would not amount to change in status and constitution and hence no approval is required for the same. However, change in name must be intimated to SEBI within a week of the change in name along with the original certificate for record.
This section shall clearly define the event of default which if occurs shall invite the actions by debenture trustee. This section shall also contain the steps which shall be taken by debenture trustee in the event of defaults.
This circular is being issued in exercise of powers conferred by section 11 (1) of the Securities and Exchange Board of India Act, 1992 to protect the interests of investors in securities and to promote the development of, and to regulate the securities market.
The Board, after considering the recommendations of the Committee and the public comments, has approved certain modifications to be incorporated in captioned Guidelines.
Impact of Distribution Taxes: While advertising returns by assuming reinvestment of dividends, if distribution taxes are excluded while calculating the returns, this fact may also be disclosed.
An illustrative list of possible violations is enclosed for your reference. Exchanges shall be required to cover these areas in detail during their inspection of stock brokers. Exchanges are advised to note that their inspections shall not be limited necessarily to areas listed in the list but also cover any additional areas where the exchanges may deem fit.
You are advised to bring to the notice of all members that those members who have failed to comply with the 50% facility by March 31, 2003 and for whom collection of fees has not been stayed by any Court of law.
