SEBI - Page 4

Strengthening Guidelines & Raising Industry standards for RTA, Issuer Companies & Banker to an Issue

Circular No. SEBI/HO/MIRSD/DOP1/CIR/P/2018/73 (20/04/2018)

These guidelines cover the following broad areas: i. Provisions with respect to Payment of Dividend/interest/redemption/ redemption ii. Provisions with respect to Transfer/Transmission/ Correction of errors etc. iii. Compulsory internal audit of RTAs...

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Monitoring of Foreign Investment limits in listed Indian companies

IMD/FPIC/CIR/P/2018/61 (05/04/2018)

As per FEMA, the onus of compliance with the various foreign investment limits rests on the Indian company. In order to facilitate the listed Indian companies to ensure compliance with the various foreign investment limits, SEBI in consultation with RBI has decided to put in place a new system for monitoring the foreign investment limits....

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Orders per second limit and requirement of empanelment of system auditors for algorithmic trading in commodity derivatives

SEBI/HO/CDMRD/DRMP/CIR/P/2018/60 (03/04/2018)

Based on representations from exchanges it has also been decided to do away with the requirement of empanelment of system auditors by the exchanges for system audit of algorithmic trading. ...

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Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) (Amendment) Regulations, 2018

Notfication No. SEBI/LAD-NRO/GN/2018/04 (02/04/2018)

1. These regulations may be called the Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) (Amendment) Regulations, 2018. 2. These regulations shall come into force on October 1, 2018....

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Discussion paper on Share Buyback & Substantial Acquisition Regulations

SEBI issues Discussion Paper on Review of SEBI (Buyback of Securities) Regulations, 1998 and SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 ...

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Posted Under: SEBI |

Compliance with SEBI Regulations by listed companies under Insolvency

Discussion Paper on Compliance with SEBI Regulations by listed entities undergoing Corporate Insolvency Resolution Process under the Insolvency and Bankruptcy Code, 2016...

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Posted Under: SEBI |

SEBI circular on ISINs & Debt Security Listing Regulations

Circular No. CIR/DDHS/P/59/2018-SEBI (28/03/2018)

Clarifications with respect to circular on Specifications related to International Securities Identification Number (ISINs) for debt securities issued under the SEBI (Issue and Listing of Debt Securities) Regulations, 2008...

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Investor Grievance Redress Mechanism – New Policy Measures

SEBI/HO/OIAE/IGRD/CIR/P/2018/58 (26/03/2018)

SEBI encourages investors to lodge complaints through electronic mode in SCORES. However, complaints received from investors in physical form are also digitized by SEBI and uploaded in SCORES. Thereafter, follow-up actions of the complaint are done in electronic form only i.e. through SCORES....

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Guidelines for Liquidity Enhancement Schemes in Commodity Derivatives Contracts

SEBI/HO/CDMRD/DMP/CIR/P/2018/55 (26/03/2018)

It has been decided to permit LES in commodity derivatives contracts subject to the requirements stipulated vide above mentioned SEBI Circular dated April 23, 2014....

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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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