SEBI - Page 20

SEBI Circular on Prevention of Unauthorized Trading by Stock Brokers

CIRCULAR SEBI/HO/MIRSD/DOP1/CIR/P/2018/54 (22/03/2018)

The Brokers are required to maintain the records specified at Para III above for a minimum period for which the arbitration accepts investors’ complaints as notified from time to time currently three years. However in cases where dispute has been raised, such records shall be kept till final resolution of the dispute....

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Clarification to Circular pertaining to Investor Grievance Redressal System

CIR/CDMRD/DCE/CIR/P/2018/48-SEBI (14/03/2018)

i. The NCDEs shall provide training of at least one day to every arbitrator each year. ii. With regard to para 2A(x) of the aforesaid circular pertaining to speeding up grievance redressal mechanism, it is clarified that in order to discourage delayed filing by members, the additional fees payable by members who file their claim beyond th...

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Composition and Role of the Board of Directors- Uday Committee

Mr. Uday Kotak, Chairman of the Committee with the team compiled and presented this report to the SEBI with their recommendation to ensure and strengthen corporate governance in India. In his letter to the SEBI he suggested that the “Custodian” model works on “Gandhian Principles”, and is relevant for both promoter managed as well...

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SEBI qualifies QIP for achieving MPS

SEBI, in its board meeting held on December 28, 2017[1] decided to introduce Qualified Institutions Placement (QIP) and Sale of shares up to 2% held by promoters/promoter group in open market, subject to certain conditions, to enable listed companies to comply with the MPS requirement....

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Additional methods for listed entities to achieve minimum public shareholding

Additional methods for listed entities to achieve minimum public shareholding requirements and amendments to ICDR Regulations for the purpose with respect to Qualified Institutions Placement (QIP)...

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SEBI specifies new methods to achieve minimum public shareholding

SEBI/HO/CFD/CMD/CIR/P/43/2018 (22/02/2018)

With a view to further facilitate listed entities to comply with the minimum public shareholding requirements, the following additional methods are allowed :- a) Open market sale: Sale of shares held by the promoters/promoter group up to 2% of the total paid-up equity share capital of the listed entity in the open market, subject to five...

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Snapshot on Insider Trading

SEBI has been constantly focusing on developing and regulating the Indian capital market to boost the investor’s confidence. One of its steps was towards replacing the two decade old insider trading norms by notifying the SEBI (Prohibition of Insider Trading Regulations) 2015 ...

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Compensation to Retail Individual Investors (RIIs) in an IPO

SEBI/HO/CFD/DIL2/CIR/P/2018/22 (15/02/2018)

While the process of Applications Supported By Block Amount (ASBA) has resulted in almost complete elimination of complaints pertaining to refunds, there have been instances where the applicants in an Initial Public Offering have failed to get allotment of specified securities and in the process may have suffered an opportunity loss due t...

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Auditors who conducted audit of Mutual Fund for 9 years or more may continue till the end of F.Y. 2018-19: SEBI

SEBI/HO/IMD/DF2/CIR/P/2018/19 (07/02/2018)

Auditors who have conducted audit of the Mutual Fund for 9 years or more, in terms of clause B (2) (iii) (b) of the aforesaid circular, may continue till the end of F.Y. 2018-19....

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AMCs to prominently disclose TER of all scheme on daily basis: SEBI

SEBI/HO/IMD/DF2/CIR/P/2018/18 (05/02/2018)

t is observed that there are frequent changes carried out in Total Expense Ratio (TER) and such changes are not prominently disclosed to investors. In order to bring uniformity in disclosure of actual TER charged to mutual fund schemes and to enable the investor to take informed decision, the following has been decided:...

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June 2020