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Per client minimum investment amount requirement not apply to AI

SEBI/HO/IMD/IMD-POD-1/P/OW/2023/0000012071/1 23/03/2023

As per the second proviso to Regulation 23 (2) of the portfolio management (PM) Regulations, subject to appropriate disclosures in the disclosure document and the terms agreed between the client and the Portfolio Manager, the requirement of minimum investment amount per client shall not apply for an Accredited Investor (AI). Al can make i...

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SEBI clarifies on computation of minimum net worth

SEBI/DDHS/Div-1/PR/OW12023/10537/1 14/03/2023

Definition of term `networth' in SEBI (Issue and listing of Non-convertible securities) Regulations, 2021 is linked to one provided by Companies Act, 2013. Section 2(57) of Companies Act 2013, provides for calculation of networth....

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Guidelines on Statutory Branch Audit of Public Sector Banks

Ref. DoS.CO.ARG/S8213/08.91.001/2022-23 06/03/2023

Source- Unconfirmed and based on File Received from Social Media Revised RBI Guidelines for Appointment / Re-appointment of Statutory Branch Auditors of Public Sector Banks and Norms on Business Coverage under Statutory Branch Audit of Public Sector Banks for the year ending March 31, 2023. Reserve Bank of India Ref. DoS.CO.ARG/S8213/08.9...

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Exemption from minimum subscription requirement under regulation 86 of SEBI ICDR Regulations 2018

No. SEBI/HO/CFD/PoD2/OW/P/2023/5822/1 10/02/2023

For an exemption from the minimum subscription requirement under regulation 86 of SEBI ICDR Regulations 2018, the twin conditions of the proviso to the aforesaid regulation are required to be met. However, for a professionally managed listed company without identifiable promoters/promoter group, compliance with the second condition to the...

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Clients writing required text about Portfolio fees is must, electronic onboarding not valid: SEBI

SEBI/H0/1MD/IMD-PoD-1/0W/P/2023/5099/1 10/02/2023

SEBI had noticed that clauses relating to fees and charges in the portfolio manager-client agreement did not always clearly reflect the fees and charges payable by the client and the manner of computation of the same. To bring about greater uniformity, clarity and transparency with regard to fees and charges, SEBI issued circular dated Oc...

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Delisting of Shares – Exclusion of shares transferred to IEPF for calculating 90% of shares tendered by public shareholders

No.: SEBI/HO/CFD/PoD2/OW/P/2023/3466/1 27/01/2023

Chapter IV of the Delisting Regulations, which states that shares transferred to the Investor Education and Protection Fund's account shall be excluded while calculating 90% of shares tendered by public shareholders for successful completion of delisting offer....

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Guidelines on issuance of File Reference Numbers (FRN) to Cross Border Re­insurers

Ref: IRDAI/REIN/GDL/MISC/2/1/2023 03/01/2023

Insurance Regulatory and Development Authority of India Guidelines Ref: IRDAI/REIN/GDL/MISC/2/1/2023 January 3, 2023 To The CEOs of All Insurers Subject: Guidelines on issuance of File Reference Numbers (FRN) to Cross Border Re­insurers 1. Background: A. The Indian Insurance Industry is poised for growth and the Authority has been taking...

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SEBI Guidelines on procedural aspects of Suspense Escrow Demat Account

SEBI/HO/MIRSD/PoD-1/0W/P/2022/64923 30/12/2023

SEBI vide its circular No. SEBI/HO/MIRSD/PoD-1/0W/P/2022/64923 Dated 30.12.2012 issued Guidelines with respect to procedural aspects of Suspense Escrow Demat Account and directed listed entities to process all service requests in Demat form. SEBI had also provided a procedure vide which company will be sending a ‘Letter of Confirmation ...

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SEBI guideline on corporate governance provisions applicability – Regulation 15(2) of LODR Regulations

Circulars No. SEBI/HO/CFD/PoD2/OW/P/2022/62225/1 14/12/2022

Upon plain reading of regulation 15(2) of the LODR Regulations, the compliance with the corporate governance provisions shall not apply, upon fulfilment of two conditions namely – (a) a listed entity having paid up equity share capital not exceeding rupees ten crore; and (b) net worth not exceeding rupees twenty-five crore, as on th...

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Applicability of Corporate governance provisions of LODR Regulations to listed entity

Notification No.: SEBI/HO/CFD/Po D2/OW/P/2022/62027/1 13/12/2022

Corporate governance provisions of LODR Regulations are not applicable to a listed entity only if the paid-up equity share capital and net-worth are less than ₹10 crore and ₹25 crore, respectively....

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