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Regulation 18(4) (f) makes it obligatory upon the trustees to ensure that before the launch of any scheme the asset management company has prepared a compliance manual and designed internal control mechanisms including internal audit systems.
It has therefore been decided to postpone the date for compulsory dematerialised trading in respect of the above scrips by institutional investors and OCBs to a date which would be announced after they complete the formalities.
A meeting of heads of all the Stock Exchanges was held on December 20, 1999 to discuss the issues related to Revival of small stock exchanges, Y2K preparedness of the Stock Exchanges and Stock Brokers and other issues.
It has now been decided that effective from January 17, 2000 delivery of shares in dematerialised form is compulsory by all investors in respect of 39 scrips (Annexure A) taking the total number of such scrips to 199.
The clarifications pertaining to the notification and additional guidelines as approved by SEBI Board are also being issued under Regulation 77 of the SEBI (Mutual Funds) Regulations, 1996
It is further advised that the information on total purchases/sales of sensitive index scrips need not be sent. You may please clarify your custodians accordingly.
In order to bring these trades under similar time schedule as the trades settling through Clearing House, all HDTs will have to be compulsorily settled with the clients’ custodians within two working days of the pay-out date for that settlement at that stock exchange.
Please refer to our circular no. SMD-II/POLICY/CIR-37/99 dated November 26, 1999 whereby the Exchanges were permitted to promote a subsidiary/float a company to acquire membership rights of other Stock Exchange subject to fulfillment of certain conditions as stipulated therein.
The Stock Exchanges shall comply with the decisions taken above and make suitable changes in their software and hardware so that the schedule for implementation of the first phase of rolling settlement is adhered to.
In view of the above, the cut-off date for the stock brokers to become Y2K compliant has been extended up to December 15, 1999. You are advised to invariably deactivate the trading terminals of those stock brokers, who are not Y2K compliant,
