Securities and Exchange Board of India
CA, CS, CMA : Major rulings and notifications clarified tax treatment, compliance timelines, and financial regulations. The updates emphasize ef...
SEBI : Regulation 31A lays down strict eligibility and compliance requirements for promoter reclassification. The key takeaway is that lo...
CA, CS, CMA : The update discusses GST rulings on ITC and refunds, income tax relief interpretations, and insolvency reforms. It also covers dis...
Income Tax : Explains how commission-driven incentives in banks lead to mis-selling of financial products. Highlights the need for structural r...
SEBI : Explains mandatory quarterly disclosures under SEBI LODR, including financial results, governance reports, and shareholding patter...
SEBI : The consultation highlights that existing net worth calculations based on retained client funds are no longer effective. A revised...
SEBI : The draft circular addresses issues in managing unpaid client securities and proposes changes to the existing pledge framework. It...
Finance : The agreements introduce structured protocols for intelligence sharing and monitoring compliance under PMLA. The ruling highlights...
SEBI : The issue involved misuse of telecom resources in financial scams. The MoU establishes real-time data sharing to enable early dete...
SEBI : The issue concerns multiple filings of the same disclosures on different stock exchanges. The framework enables a single filing sy...
SEBI : The issue was whether failure to refund investor funds is time-barred. The Court held it is a continuing offence, rejecting the li...
Company Law : Supreme Court held that diversion of funds raised through preferential allotment for purposes other than those stated in offer doc...
SEBI : Calcutta High Court directs SEBI to accept Priya Ranjan Sah's payment, citing a one-day delay as not warranting prolonged litigati...
SEBI : SEBI penalty on Deccan Chronicle's Company Secretary overturned. Tribunal rules Company Secretary not responsible for verifying au...
SEBI : SEBI prosecutes directors of Gujarat Arth Ltd for market manipulation and fraudulent trading under SEBI Act....
SEBI : The issue was compliance timeline under amended DT regulations. SEBI extended the deadline to October 2026 due to implementation c...
SEBI : The event underscored that increasing retail participation must be matched with stronger investor awareness and safeguards. It emp...
SEBI : SEBI addressed concerns over high funding costs caused by gross settlement requirements. It permitted netting for outright transac...
SEBI : SEBI clarified that only a body corporate can act as a sponsor under MF Regulations 2026. A family trust, not being a body corpora...
SEBI : SEBI reduced the threshold under Regulation 10(c) from ₹2 lakh to ₹1,000, easing compliance requirements. The move simplifies ...
QRTAs are mandated to conduct comprehensive cyber audit at least twice in a financial year. All QRTAs shall submit a declaration from the MD/ CEO certifying compliance by the QRTAs with all SEBI Circulars and advisories related to Cyber security from time to time, along with the Cyber audit reports.
ISE / SEs / CCs shall endeavour to settle the claims of maximum number of clients by way of interim measures, under their supervision prior to issuing show cause notice (SCN) for declaring the TM a defaulter. The TM shall be instructed to pay small investors out of available funds and own resources (movable and immovable) under the supervision of the ISE/ SEs.
Learn the simplified procedure and documentation requirements for issuance of duplicate securities certificates by listed entities.
SEBI Consultation paper on introducing framework of Schemes of Arrangement for entities that have listed only debt securities/ NCRPS’
In view of the SEBI Circular dated September 23, 2020 which, inter alia, states that ‘IA’ shall, wherever applicable, advice direct plans (non-commission based) on products only, it is informed that the extant provisions envisage lAs advising its clients only in direct plans on products and not on regular mode. Thus, you may advise your […]
The revised format for security cover is enclosed at Annexure I. Further, the obligations of listed entity and Debenture Trustee with respect to preparation and submission of security
It was represented that there should be a minimum gap of three working days considering two days for settlement and one additional day for investor to make application in Rights Issue.
SEBI reviewed process being followed by Registrars to an Issue and Share Transfer Agents & Depositories/ Issuer companies for effecting transmission of securities.
In order to ensure availability of comprehensive information mentioned in the circulars at one place, SEBI has been releasing Master Circular by compiling all the circulars issued by the department till the date of Master circular.
Navigate the complexities of Model Portfolios and Research Analyst services. Understand SEBIs regulations on Research Analysts, Investment Advisors, and Model Portfolios. A recent SEBI Settlement Order sheds light on compliance breaches and emphasizes the importance of adhering to regulatory standards. Stay informed to ensure lawful practices in the financial services domain.
