SEBI : SEBI's 2026 fast-track AIF framework shifts responsibility from regulatory pre-approval to merchant bankers and fund managers. The...
SEBI : SEBI has introduced significant reforms by reclassifying REITs as equity instruments and easing operational rules for InvITs. The ...
SEBI : This article explains how Electronic Gold Receipts (EGRs) create a regulated, exchange-traded market backed by physical gold. It h...
SEBI : SEBI flagged alleged revenue misrepresentation, undisclosed fund transfers, and accounting irregularities, raising concerns over d...
CA, CS, CMA : A comprehensive review of significant developments across Income Tax, GST, Customs, DGFT, SEBI, MCA, IBBI, and RBI. The update hig...
SEBI : SEBI proposes amendments to the Municipal Debt Securities Regulations to encourage retail participation through investor incentive...
SEBI : SEBI proposes recognising intraday borrowing as a cash management tool by permitting broader borrowing purposes with board-approve...
SEBI : SEBI proposes revising the securities transmission framework by simplifying documentation, standardising procedures, and increasin...
SEBI : SEBI proposes the GARUDA mechanism to reduce AIF scheme launch timelines while retaining post-facto regulatory oversight and compl...
SEBI : SEBI has proposed amendments to align the SDI Regulations with the RBI's 2025 securitisation framework and support the listed secu...
SEBI : In Re Udit Todi & 13 Others (Securities and Exchange Board of India) Capital markets regulator Sebi on Monday barred 14 enti...
Goods and Services Tax : Kasturba Health Society Vs Union of India (Bombay High Court) On going through the impugned orders challenged here, we find that t...
SEBI : In re Dwitiya Trading Limited (SEBI) The conduct of the Noticee in not paying heed to the summonses issued by SEBI and resultant n...
SEBI : In re Reliance Industries Ltd (SEBI) It was observed by RIL has entered into a scheme of manipulative trades in respect of the sal...
SEBI : SEBI has amended the framework for handling clients' unpaid securities by introducing direct demat pay-out with auto-pledge throug...
SEBI : SEBI has introduced a Settlement Helpdesk to assist applicants with filing settlement applications, computing indicative amounts, ...
SEBI : SEBI has constituted an Expert Working Group to review the Debenture Trustees regulatory framework, strengthen trustee responsibil...
SEBI : SEBI has introduced a lighter NISM certification for Persons Associated with Investment Advice who perform only sales and other no...
SEBI : SEBI has proposed a unified advertisement framework replacing multiple entity-specific codes with a Common Advertisement Code. The...
Statements made about the performance or activities of the Portfolio Manager in the absence of necessary explanatory or qualifying statements, which may give an exaggerated picture of the performance or activities of the Portfolio Manager, than what it really is.
This is to facilitate the last purchaser, in the event of any problems of bad delivery etc., to approach the first introducing broker for rectification of defect(s). However in the absence of any indication of Stock Exchange of which the introducing broker is a member, this task is rendered rather difficult.
– For the purposes of this clause the Board shall take into account whether a previous application for a certificate of any person directly or indirectly connected with the applicant has been rejected by the Board or any disciplinary action has been taken against such person under the Act or any of the Rules or any of the Regulations made under the Act]
In terms of the powers vested with the SEBI under the above Section of the Securities Contracts(Regulations) Act, 1956, you are advised to please send a copy each of the audited Balance Sheet and Profit and Loss account for the financial year 1992-93 and onwards to the SEBI also.
Members of Stock Exchanges of Bombay, Delhi, Calcutta, and Madras may apply to SEBI through their respective stock exchanges indicating their SEBI registration number, the scrips in which they wish to make market, their turnover in 1991-1992 on the basis of which they have paid SEBI registration fee.
In terms of Regulation 55(i) of Securities and Exchange Board of India (Mutual Funds) Regulations 1993, the Board has prescribed New Scheme Report to be submitted by all Mutual Funds. The prescribed formats of the Report, viz
certain suggestions were made to improve the working and practices and procedures at the Exchange. These suggestions have already been forwarded to you and you were also advised to submit periodical progress reports on implementation of these suggestions.
The Board may require the applicant to furnish further information or clarifications regarding activities and matters connected thereto to consider the application for grant of a certificate.
Please refer to the earlier correspondence on the subject resting with our letter no. SMD/SED/0049/93 dated January 1, 1993. The Board after taking into account suggestions made by various stock exchanges has decided to direct the stock exchanges.
As you are aware, with the spate of issues of rights shares and fully and convertible debentures in the current financial year (i.e. 1992-93), the volume of odd lot shares and debentures has reportedly increased manifold, but the secondary market for them is not that active.
