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This is with reference to the reporting of complaints against Sub brokers by the stock exchanges. For monitoring the complaints redressal mechanism more effectively, has been decided that stock exchanges shall send a Monthly Status Report of Complaints against Sub brokers in enclosed format instead of sending replies on case to case basis.
It has been represented to SEBI that a number of members, particularly those doing jobbing and arbitrage business are finding it difficult to maintain the incremental base minimum capital in the form prescribed by SEBI.
With regard to the order of the Hon’ble High Court of Delhi dated 13.06.97, we have been provided with a list of 40 CRB Group Companies by the Reserve Bank of India, which are coming within the purview of said order.
After taking above mentioned measures, details of such members should also be communicated to SEBI on an URGENT basis. List of 75 group companies of CRB is enclosed.
Securities and Exchange Board of India (Mutual Funds) Regulations, 1996 have been amended which was notified on April 15, 1997. A copy of the notification* is enclosed for your information
Where there are two or more persons in control over the target company, the cesser of any one of such persons from such control shall not be deemed to be a change in control of management nor shall any change in the nature and quantum of control amongst them constitute change in control of management.
The issue relating to the listing of debt securities of a company without prior requirements of its equity having been listed has been considered by SEBI and it has been decided in view of the consistent changes taking place in the capital markets and with basic intention of offering depth to the debt market.
in the event if cancellation/suspension of the registration as stock broker because of any disciplinary action taken against the member by Exchange/SEBI, the member will not be eligible to be elected and/or to continue on the Governing Board.You are advised to implement the above with immediate effect.
In exercise of the powers conferred by section 30 read with clause (c) of sub-section (2) of section 11 of the Securities and Exchange Board of India, Act 1992, (15 of 1992) the Securities and Exchange Board
In exercise of the powers conferred by section 30 of the Securities and Exchange Board of India Act, 1992 (15 of 1992) the Securities and Exchange Board of India hereby, makes the following regulations.
