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Pursuant to the above Securities and Exchange Board of India (Delisting of Securities) Guidelines 2003, has been issued (Copy enclosed). These guidelines shall come into effect immediately.
The companies are advised to furnish a copy of compliance certificate latest by April 07, 2003 to the stock exchanges wherever their securities are listed as well as to the depositories wherever the securities have been admitted.
It has been observed that in the cases where companies listed at the stock exchanges fail to comply with the various requirements of listing agreement, the exchanges do not initiate any action against the companies.
The companies are advised to furnish a copy of compliance certificate latest by April 07, 2003 to the stock exchanges wherever their securities are listed as well as to the depositories wherever the securities have been admitted.
The custodians of securities are requested to bring the contents of this circular to the notice of their constituents. The circular is also available at the web page Legal Framework on the SEBI website at www.sebi.gov.in.
The small stock exchanges were permitted to promote / float a subsidiary / company vide SEBI Circular no. SMD-II/Policy/Cir-37/99 dated November 26, 1999. SEBI has inspected subsidiary companies and has reviewed their functioning.
System for online transmitting the client wise pay-in obligation to depository so that the depository in turn could download the security pay-in instructions to depository participants in respect of the investor maintaining account with them.
The total exposure of the portfolio client in derivatives should not exceed his portfolio funds placed with the portfolio manager and the portfolio manager should basically invest and not borrow on behalf of his clients.
According to Regulation 33(3) of SEBI (Mutual Funds) Regulations 1996, the units of a close ended scheme may be converted to open ended scheme, if the offer document of such scheme discloses the option and the period of such conversion or the unitholders are provided with an option to redeem their units in full.
SEBI, in its endeavor, to make processing of application for registration/renewal simpler, speedier and effective, advise all the existing/prospective ‘Portfolio Managers.
