Category - SEBI

RBI and SEBI review Investment by Foreign Portfolio Investors (FPI) in Debt

RBI/2017-18/199 A.P. (DIR Series) Circular No. 31 June 15, 2018 To All Authorized Persons Madam / Sir Investment by Foreign Portfolio Investors (FPI) in Debt - Review Attention of Authorised Dealer Category-I (AD Category-I) banks is invited to Schedule 5 to the Foreign Exchange Management (Transfer or Issue of Security by a Person Resident outside… Read More

Securities Exchange Board of India amends its Regulations

SEBI amends the following list of Regulations for the month of May:- Securities and Exchange Board of India (Mutual Funds) (Second Amendment) Regulations, 2018 Securities and Exchange Board of India (Bankers to an Issue)(Amendment) Regulations 2018 Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agent)(Amendment) Regulations 2018 Securities and Exchange… Read More

SEBI constitutes Group to review Institutional Trading Platform (ITP) framework to facilitate the listing of start ups

SECURITIES EXCHANGE BOARD OF INDIA CIRCULAR Jun 12, 2018 PR No.: 17/2018 SEBI has constituted a group to look into the existing Institutional Trading Platform (ITP) framework and suggest measures to facilitate listing of startups. SEBI had put in place the ITP framework in 2015 with a view to facilitating listing of new age companies in… Read More

SEBI issues Registrars to an Issue and Share Transfer Agents Second Amendment Regulations, 2018

SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 8th June, 2018 (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) (SECOND AMENDMENT) REGULATIONS, 2018 No. SEBI/LAD-NRO/GN/2018/25.—In exercise of the powers conferred by section 30 of the Securities and Exchange Board of India Act, 1992 (15 of 1992), the Board hereby makes the following regulations to… Read More

Circular on Go Green Initiative in Mutual Funds:SEBI

CIRCULAR SEBI/HO/IMD/DF2/CIR/P/2018/92 June 05, 2018 All Mutual Funds/ Asset Management Companies (AMCs)/ Trustee Companies/ Boards of Trustees of Mutual Funds Sir / Madam, Subject: Circular on Go Green Initiative in Mutual Funds A. A copy of the Gazette Notification No.SEBI/LAD-NRO/GN/2018/14 dated May 30, 2018 on Amendments to SEBI (Mutual Funds) Regulations, 1996 is enclosed for… Read More

SEBI issues Guidelines for Preferential Issue of Units by Infrastructure Investment Trusts

CIRCULAR SEBI/HO/DDHS/DDHS/CIR/P/2018/89 June 05, 2018 To, All Infrastructure Investment Trusts (InvITs) All Parties to InvITs All Stock Exchanges (other than Commodity Exchanges) All Merchant Bankers Dear Sir/ Madam, Sub: Guidelines for Preferential Issue of Units by Infrastructure Investment Trusts (InvITs) 1. Regulation 2(1)(zo) of SEBI (Infrastructure Investment Trusts) Regulations, 2014 (“InvIT Regulations”) defines a preferential… Read More

SEBI Circular on Total Expense Ratio for Mutual Funds

CIRCULAR SEBI/HO/IMD/DF2/CIR/P/2018/91 June 05, 2018 All Mutual Funds/Asset Management Companies (AMCs)/ Trustee Companies/Boards of Trustees of Mutual Funds Sir/ Madam, Subject: Total Expense Ratio for Mutual Funds A. A copy of the Gazette Notification No.SEBI/LAD-NRO/GN/2018/14 dated May 30, 2018 on Amendments to SEBI (Mutual Funds) Regulations, 1996 is enclosed for implementation. B. Charging of additional… Read More

Govt. amends Prevention of Money-laundering (Maintenance of Records) Rules, 2005

CIRCULAR SEBI/HO/MIRSD/DOSR1/CIR/P/2018/93 June 6, 2018 1. All Recognized Stock Exchanges 2. Stock Brokers through Recognized Stock Exchanges 3. All Recognized Depositories 4. Depository Participants through Depositories 5. Association of Mutual Funds in India 6. Mutual funds through AMFI 7. Portfolio Managers 8. KYC Registration Agencies (KRAs) 9. Alternative Investment Funds (AIFs) 10. Collective Investment Schemes… Read More

SEBI amends Credit Rating Agencies Regulations, 1999

CIRCULAR SEBI/ HO/ MIRSD/ DOP2/CIR/P/2018/ 95 June 06, 2018 All Credit Rating Agencies Registered with SEBI Dear Sir/ Madam, Sub: Amendment to Securities and Exchange Board of India (Credit Rating Agencies) Regulations, 1999 1. Please find enclosed Gazette Notification No. SEBI/LAD-NRO/GN/2018-15 dated May 30, 2018 in respect of Securities and Exchange Board of India (Credit… Read More

SEBI issues Master Circular for Stock Broker

MASTER CIRCULAR SEBI/HO/MIRSD/DOP1/CIR/P/2018/87 June 01, 2018 To, All Stock Exchanges All Registered Stock Brokers Dear Sir / Madam, Subject: Master Circular for Stock Brokers 1. Securities and Exchange Board of India (SEBI), from time to time, has been issuing various circulars/directions to Stock Brokers. In order to enable the users to have access to the… Read More

SEBI releases circular on System-driven Disclosures in Securities Market

CIRCULAR SEBI/HO/CFD/DCR1/CIR/P/2018/85 May 28, 2018 To All Listed Entities All Depositories All Nationwide Stock Exchanges Dear Sir/Madam, System-driven Disclosures in Securities Market 1. SEBI, vide circular dated December 01, 2015, had introduced system-driven disclosures in securities market detailing the procedure to be adopted for its implementation with effect from January 01, 2016. The procedure was… Read More

SEBI issues circular on Segregated Nominee Account Structure in IFSC

CIRCULAR SEBI/HO/MRD/DRMNP/CIR/P/2018/83 May 24, 2018 All recognized Stock Exchanges and recognized Clearing Corporations in IFSC Dear Sir/Madam Segregated Nominee Account Structure in International Financial Service Centre (IFSC) With a view to further facilitate ease of market access for foreign investors in IFSC and based on feedback received from market participants, it has been decided to… Read More

SEBI issues circular on Investment of own funds by Clearing Corporations in IFSC

Securities and Exchange Board of India CIRCULAR SEBI/HO/MRD/DRMNP/CIR/P/2018/82 May 21, 2018 All recognized Clearing Corporations in International Financial Services Centre (IFSC) Dear Sir / Madam Investment of own funds (excluding funds lying in Core Settlement Guarantee Fund) by Clearing Corporations in International Financial Services Centre (IFSC) SEBI vide circular SEBI/HO/MRD/DRMNP/CIR/P/2016/54 dated May 04, 2016, has… Read More

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