SEBI notifications - Page 5

Govt extends tenure of SEBI Chairman Ajay Tyagi upto Feb 2022

Notification No.18/5/2017-Eo(SM.II) (05/08/2020)

The Appointments Committee of the Cabinet has approved the extension of term of appointment of Shri Ajay Tyagi, IAS (HP:1984) (Retd.) as Chairman, Securities & Exchange Board of India (SEBI) for a further period of 18 months w.e.f. 01.09.2020 upto 28. 02.2022 or until further orders, whichever is earlier....

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Decentralization of work related to Registration of Portfolio Managers

Press Release No. 41/2020-SEBI (04/08/2020)

SEBI is granting registration to the applicants fulfilling the compliance of the various provisions of SEBI (Portfolio Managers) Regulations, 2020. At present, applicants submit their registration applications for Portfolio Managers through SEBI Intermediary Portal ( and these applications are processed at Head Office...

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Grievance Resolution between listed entities & proxy advisers

Circular No. SEBI/HO/CFD/CMD1/CIR/P/2020/119 (04/08/2020)

Proxy advisors, over the past few years, have played a key role in enabling shareholders to effectively participate in corporate governance decisions and thus, furthering the achievement of the above objectives. Proxy advisors provide advice to institutional investors / shareholders of a listed entity, in relation to exercise of their rig...

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Procedural Guidelines for Proxy Advisors

Circular No. SEBI/HO/IMD/DF1/CIR/P/2020/147 (03/08/2020)

Proxy Advisors shall formulate the voting recommendation policies and disclose the updated voting recommendation policies to its clients. Proxy Advisors shall ensure that the policies should be reviewed at least once annually. The voting recommendation policies shall also disclose the circumstances when not to provide a voting recommendat...

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New SEBI Regulatory Norms for Brokers in India

1. Definition of a Stock Broker as per SEBI norms: By general definition, a stockbroker is an intermediary having the authority to trade in stocks and securities them on a stock exchange on the behalf of investors. As it is difficult for the investor to directly trade in the stock exchange, he takes the assistance […]...

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Collection & Reporting of Margins by TM/CM in Cash Segment

Circular No. SEBI/HO/MIRSD/DOP/CIR/P/2020/146 (31/07/2020)

If TM / CM collects minimum 20% upfront margin in lieu of VaR and ELM from the client, then penalty for short-collection / non-collection of margin shall not be applicable. However, it is reiterated that Clearing Corporation shall continue to collect the upfront margin from the TM / CM based on VaR and 2.2 The penalty provision for sho...

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Use of digital signature certifications for authentication / certification of filings / submissions made to Stock Exchanges

Circular No. SEBI/HO/CFD/CMD1/CIR/P/2020/145 (31/07/2020)

SEBI has received a representation from the Institute of Company Secretaries of India (ICSI) stating that due to the COVID -19 pandemic and precautionary measures for its curtailment, Company Secretaries continue to face operational challenges in carrying out certification and authentication of documents in physical form....

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Clarification on applicability of regulation 40(1) of SEBI (LODR) Regulations, 2015

Circular No. SEBI/HO/CFD/CMD1/CIR/P/2020/144 (31/07/2020)

SEBI has received representations from investors expressing concerns that they have not been able to participate in open offers, buybacks and delisting of securities of listed entities since the securities held by them were not in dematerialized form....

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Securities Contracts (Regulation) (Second Amendment) Rules, 2020

Notification No. G.S.R. 485(E) (31/07/2020)

(1) These rules may be called as Securities Contracts (Regulation) (Second Amendment) Rules, 2020. (2) They shall come into force on the date of their publication in the Official Gazette....

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SEBI to implement Pledge / Re-pledge mechanism in Depository System’ from August 01, 2020

Circular No. SEBI/HO/MIRSD/DOP/CIR/P/2020/143 (29/07/2020)

The mechanism of pledge / re-pledge shall be implemented with effect from August 01, 2020. Trading member (TM) / Clearing member (CM) shall endeavor to align their systems and accept client collateral and margin funded stocks by way of creation of pledge / re-pledge in the Depository system....

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September 2020