SEBI notifications - Page 5

SEBI notifies Permissible Jurisdictions for issuance of Depository Receipts

Circular No. SEBI/HO/MRD2/DCAP/CIR/P/2019/146 (28/11/2019)

Listed company shall be permitted to issue permissible securities or transfer Permissible Securities of existing holders, for the purpose of issue of DRs, only in Permissible Jurisdictions and said DRs shall be listed on any of the specified International Exchange(s) of the Permissible Jurisdiction....

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SEBI allows Clearing Corporations to invest in Overnight Funds

Circular No. SEBI/HO/MRD2/DCAP/CIR/P/2019/145 (28/11/2019)

SEBI decided to permit the Clearing Corporations to make investments in Overnight Funds; however, the combined investments made by Clearing Corporations in Liquid Funds and Overnight Funds shall not exceed a limit of ten percent of the total investible resources. Further, the investments in Overnight Funds shall also be considered as 'Liq...

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Guidelines for preferential issue & institutional placement of units by a listed REIT

SEBI/HO/DDHS/DDHS/CIR/P/2019/142 (27/11/2019)

Institutional Placement shall mean a preferential issue of units by a listed REIT only to Institutional Investors, as defined under REIT Regulations or circulars issued thereunder....

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Guidelines for preferential issue / institutional placement of units by InvIT

Notification No. SEBI/HO/DDHS/DDHS/CI R/P/2019/143 (27/11/2019)

Guidelines for preferential issue of units and institutional placement of units by a listed Infrastructure Investment Trust (InvIT)- A listed InvIT may make a preferential issue of units or institutional placement of units under these guidelines, if it satisfies the following conditions:...

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Listed entities to disclose defaults on payment of Loan: SEBI

Circular No. SEBI/HO/CFD/CMD1/CIR/P/2019/140 (21/11/2019)

Specific disclosures are required under the SEBI LODR Regulations in certain matters such as delay / default in payment of interest / principal on debt securities such as Non-Convertible Debt (NCDs), Non-Convertible Redeemable Preference Shares (NCRPS) etc. It has been observed that similar disclosures are generally not made by listed ent...

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Stock Exchange Compliance for Listed Companies

The Companies which are Listed on the Stock Exchange(s) has required to be comply with the various SEBI Regulations. In this Article we will discuss about the Quarterly/Half Yearly/Annually and General Compliance under the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015, Securitie...

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Notification under SEBI (Certification of Associated Persons in Securities Markets) Regulations, 2007

Notification No. SEBI/LAD-NRO/GN/2019/41-SEBI (21/11/2019)

Notification under Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007-The trading members shall ensure that all such associated persons who are approved users or sales personnel as on the date of this notification obtain the certification by passing the Commodity Deriva...

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SEBI proposes Issuance of SEBI (Portfolio Managers) Regulations, 2019

Press Release No. 24/2019-SEBI (20/11/2019)

The salient features of the proposed SEBI (Portfolio Managers) Regulations, 2019 are: 1. To enhance the eligibility criteria and to define the role of Principal Officer clearly. The enhanced eligibility criteria to be applicable to any employee with decision making authority relating to management of the clients’ portfolios....

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Technology a key game changer in Financial Services

Press Release No.: 23/2019 (19/11/2019)

Technology is a key game changer in financial services as it can not only provide fast and better services to the consumer, it can also be a catalyst in improving the ease of doing business, said Shri Ajay Tyagi, Chairman, SEBI while participating in a panel discussion on Technology in Financial Services at Singapore on November 16, 2019....

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Guideline for Collection of margins from clients by TM/CM in cash segment

Circular No. CIR/HO/MIRSD/DOP/CIR/P/2019/139-SEBI (19/11/2019)

In cash segment, the VaR margin is collected by Clearing Corporation (CC) upfront from trading member/clearing member by adjusting against the available liquid assets of TM/CM at the time of trade. However, the quantum, form and mode of collection of the margin from the client is left to the discretion of TM/CM....

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