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FAQs on Compliance Audit for Investment Advisers

We have been receiving multiple questions related to Compliance audit requirement by SEBI Registered Investment Adviser. Based on that we have attempted to capture some of the common questions. Q 1. What is Compliance Audit? Ans: Basically Compliance Audit is checking of the compliances followed by the Investment Advisers as stated under ...

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BSE relaxations granted in relation to compliance with SEBI provisions on account of COVID-19 pandemic

BSE issued relaxations granted in relation to compliance with various provisions on account of COVID-19 pandemic Considering the hardships faced by the listed entities due to the lockdown pursuant to the COVID-19 Pandemic, SEBI has issued various circulars notifying relaxations in the timelines by which the compliance filing required unde...

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Highlights of SEBI’s temporary relaxations for Rights Issue

Article highlights SEBI relaxation related to Eligibility conditions related to Fast Track Rights Issues, Relaxation with respect to Minimum Subscription, Minimum threshold for not filing draft letter of offer and One-time Relaxation on opening of issue....

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SEBI reduces Broker turnover fees and filing fees for issuers

PR No.: 24/2020 (27/04/2020)

In a view to combat challenges of COVID-19 Pandemic , SEBI on 27th April,2020 Vide PR No.:24/2020  notified to reduce Broker Turnover Fees and filing fees on offer documents for Public issue, Rights issue and Buyback of shares. The broker turnover fee will be reduced to 50% of the existing fee structure for the period […]...

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SEBI relaxes timelines for compliance by Depository & Depository Participants

Circular No. SEBI/HO/MIRSD/DOP/CIR/P/2020/72 (24/04/2020)

Thus, SEBI vide Circular No. SEBI/HO/MIRSD/DOP/CIR/P/2020/72dated 24.04.2020 after considering the current situation due to COVID 19 relaxed timelines for compliance with regulatory requirements by Depository and depository participants....

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SEBI Relaxes Buy back regulations due to COVID-19

Circular No. SEBI/HO/CFD/DCR2/CIR/P/2020/69 (23/04/2020)

Relaxation in Regulation 24(i)(f) of the SEBI (Buy-back of Securities) Regulations, 2018 due to the COVID 19 pandemic SEB) vide  Circular No. SEBI/HO/CFD/DCR2/CIR/P/2020/69  dated 23rd April, 2020, Relaxed Regulation 24(i)(f) of the SEBI (Buy-back of Securities) Regulations, 2018 due to the COVID 19 pandemic. Text of the Circular is as ...

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SEBI eases compliance of Rights Issue/Public Issue

Following the various relaxations provided by SEBI owing to covid-19 pandemic and lockdown extension, temporary relaxation has been granted by SEBI with respect to Rights Issue and public issue of shares under by issuing 2 circulars dated April 21, 2020 relaxing requirements of SEBI (Issue of Capital and Disclosure Requirements) Regulatio...

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PIT compliance for Pledge of shares for bonafide purpose at the time of trading window closure

Prohibition of Insider Trading (PIT) compliance for Pledge of shares for bonafide purpose at the time of trading window closure The sub-clause 4 (3) of Schedule B of the PIT Regulation provides that the trading window restrictions mentioned in sub-clause (1) shall not apply in respect of-(a) transactions specified in clauses (i) to (iv) a...

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Shifting of Registered Office (Along With Listing Regulation)

1. Every time question comes in our mind? Why the Govt creates the requirement registered office for my business? -Registered office of the company is the official address shown in the records of the Government organisation and its own. It will be beneficial for the Corporate/government for following purpose: CORPORATE a. Conduct day to d...

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Summary of Provisions of Financial results for Listed Entities

All Summarized Provisions of Financial results for entities which has listed its specified securities in Exchange Financial Results (Regulation 33 of SECURITIES AND EXCHANGE BOARD OF INDIA (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 1. Time Limit of submission of Audited/ Unaudited Financial Results to Stock Exchan...

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