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In continuation of our Circular No.SMD/POLICY/CIR-12/98 dated April 7, 1998 regarding amendments to Listing Agreement, we have to clarify that the events by way of illustrations mentioned at item (d) relating to price sensitive information etc.
The one time expenditure payable by the mutual funds to the depository may either be capitalised or may be included as part of recurring expenditure within the limits as permitted under the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996.
Enclosed is a copy of the Standard Offer Document and a copy of the memorandum containing key information for any scheme of a mutual fund.
Recently, as you are aware, some member brokers of your exchange have corporatised their memberships and accordingly applied to us for their SEBI Registration. We have completed the work of granting registration to the corporate members. Consequently, all sub-brokers affiliated to those member brokers who have corporatised their cards, will also need to apply to SEBI for transfer of their affiliation
Further to the amendments to the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996, which were notified on 12th January, 1998, a Corrigendum to the amended Regulations has been notified on 6th February, 1998, a copy of which is enclosed.
Governing Board members falling in the category (ii) shall be called as “SEBI Nominee”. Exchanges are advised to ensure that the correct terminology is used in all the documents/correspondence/Annual Report.
Recently we have come across certain cases while granting registration to brokers, where investor complaints were pending for long gainst the transferor members. In accordance with Rule 4(e) of SEBI Stock-
Insistence by the company that the RTA produce a certificate from a practising company secretary that all transfers have been completed within the stipulated time.
In exercise of the powers conferred by sub-section (i) of Section 30 of the SEBI Act, 1992 whereby a corporate entity formed by converting the individual or partnership membership card of the exchange shall be exempted from payment of fee for the period for which the erstwhile individual or partnership member as the case may be has already paid the fees subject to the condition.
For all future correspondence on the matter you are advised to quote the following reference
