Securities and Exchange Board of India
SEBI : This article explains how Electronic Gold Receipts (EGRs) create a regulated, exchange-traded market backed by physical gold. It h...
CA, CS, CMA : This weekly roundup covers key notifications, circulars, and judicial rulings issued by GST, Customs, RBI, SEBI, MCA, IBBI, and ot...
SEBI : The SAT's ruling in Alpesh Vasanji Furiya v. SEBI is a significant clarification of the relationship between securities enforcem...
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 has proposed significant changes to trading software and IT regulations by merging overlapping provisions and removing obsole...
SEBI : SEBI has proposed wide-ranging changes to the MTF framework to improve risk management and operational efficiency. The consultatio...
SEBI : SEBI has proposed a uniform framework for fixing price bands and pre-open base prices for scrips listed on multiple exchanges. The...
SEBI : SEBI has proposed replacing name-wise executive remuneration disclosures with consolidated disclosures for AMCs. The move seeks to...
SEBI : Following representations from the Bharat InvITs Association, SEBI has proposed amendments to NDCF computation rules. The draft in...
SEBI : The Supreme Court held that SEBI failed to establish fraud and market manipulation in RPL futures transactions. While disgorgement...
SEBI : SEBI overturned an earlier order that had exonerated the company, holding that key transactions allegedly created a misleading pic...
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 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...
SEBI : SEBI has proposed a comprehensive overhaul of its Master Circulars to reduce compliance costs and simplify regulatory requirements...
SEBI : SEBI approved wide-ranging reforms covering transmission of securities, buy-backs, mutual funds, AIFs, municipal bonds, and securi...
SEBI : SEBI has clarified the applicability of the early pay-in facility in the commodity derivatives segment by revising its Master Circ...
Frequently asked questions on Compliance Audit We have been receiving multiple questions related to Compliance audit requirement by SEBI Registered Research Analysts. Based on that we have attempted to capture some of the common questions. 1. What is Compliance Audit? Basically Compliance Audit is checking of the compliances followed by the Research Analysts as stated […]
It could be observed from all the actions taken by the Government that it is ensuring that while the country is struggling with the pandemic, the businesses go on smoothly. Previously, the regulator, SEBI had allowed postponement in the time-limit for the submissions required to be done by all the REITs and Invits. However, announcing by way of circular on […]
Impact and Analysis of the SEBI (Investment Advisers) (Amendment) Regulations, 2020 Earlier this year SEBI has issued the Consultation Paper on 16th January, 2020 seeking public comments on the proposed changes. Post this, in February, 2020 SEBI in its Board Meeting approved certain changes to it. Now on 3rd July, 2020 SEBI has notified amendments to […]
A. Notification of Amendments to SEBI (Investment Advisers), Regulation, 2013 Introduced by: SEBI Press Release PR No. 37/2020, Dated 03.07.2020 What are the announcements in press release regarding notifications of Amendments to SEBI (Investment Advisers) Regulation 2013 Purpose of the Amendment To strengthen the regulatory framework for investment advisers What are the Key changes? 1. […]
Article covers the compliance’s which are required to be complied by the listed entities on quarterly, half yearly and on annual basis within the prescribed due dates as given under SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015. Sr.no. Reg. no. Particular Due date QUARTERLY COMPLIANCE 1 13(3) Statement of Investor complaints Within 21 […]
Standard operating Procedure case of Trading Member / Clearing Member leading to default. Relevant Circular: SEBI Circular No. SEBI/HO/MIRSD/DPIEA/CIR/P/2020/115 dated 01.07.2020 To Protect the of non-defaulting clients of a Trading members/Non defaulting Clients/TMs of the Clearing Members in the likely event of default by TM/CM, there is a need for Standard Operating System or procedure. […]
Article compiles 5 Circulars issued by SEBI between 25.06.2020 to 30.06.2020 which related to Collection of stamp duty on issue, transfer and sale of units of AIFs, Relaxation in Timelines for compliance with regulatory requirements, Guidelines for Portfolio Managers- Extension of Implementation timeline, Relaxation of Gap between two board meeting/Audit Committee Meetings of listed entities […]
Dr. Udayant Malhoutra Vs SEBI (Securities Appellate Tribunal, Mumbai) 1. The present appeal has been filed against an ex-parte order dated June 15, 2020 passed by the Whole Time Member (‘WTM’ for short) of Securities and Exchange Board of India (‘SEBI’ for short) directing the appellant to deposit a sum of Rs. 2,66,59,215/-plus interest till […]
Article explains about 6 Recent Important Amendments in June 2020 under SEBI Law which includes Further extension of time for submission of Annual Secretarial Compliance Report by listed entities, Guidelines for Order to trade ratio (OTR) for Algorithmic trading, Further extension of time for submission of financial results for quarter/half year/financial year ending 31st March […]
SEBI Relaxation of Time Gap Between Two Board / Audit Committee Meetings Till 31st July 2020 SEBI has vide Circular No. SEBI/HO/CFD/CMD1/CIR/P/2020/110 dated 26th June, 2020 has relaxed time gap between two board / Audit Committee meetings of listed entities owing to the CoVID-19 pandemic. Text of the circular is as follows:- Securities and Exchange […]
