Category - SEBI

Prevention of Unauthorised Trading by Stock Brokers : SEBI

CIRCULAR CIR/HO/MIRSD/MIRSD2/CIR/P/2018/ 09 January 11, 2018 To All recognized Stock Exchanges Dear Sir/ Madam, Sub: Prevention of Unauthorised Trading by Stock Brokers 1. SEBI vide circular No. CIR/HO/MIRSD/MIRSD2/CIR/P/2017/108 dated September 26, 2017 had prescribed guidelines for prevention of unauthorised trading by stock brokers and issued subsequent clarification vide CIR/HO/MIRSD/MIRSD2/CIR/P/2017/124 dated November 30, 2017. 2. SEBI… Read More

SEBI circular on Margin provisions for intra-day crystallised losses

CIRCULAR CIR/MRD/DRMNP/008/2018 January 08, 2018 All Recognised Clearing Corporations Dear Sir/Madam, Sub: Margin provisions for intra-day crystallised losses 1. The margining system of Clearing Corporations currently levies margin based on net buy value (Buy – Sales value of underlying) of unsettled trades in the cash segment and based on the net open positions (Open Interest)… Read More

Electronic book mechanism for issuance of securities on private placement basis

CIRCULAR SEBI/HO/DDHS/CIR/P/2018/ 05 January 05, 2018 To All Recognized Stock Exchanges (except Commodity Exchanges) All Depositories Issuers of debt securities/NCRPS Merchant Bankers and Brokers registered with SEBI Primary Dealers registered with RBI Dear Sir / Madam, Sub: Electronic book mechanism for issuance of securities on private placement basis 1. SEBI vide circular No. CIR/IMD/DF1/48/2016 dated… Read More

SEBI (Settlement of Administrative and Civil Proceedings) (Second Amendment) Regulations, 2017

THE GAZETTE OF INDIA EXTRAORDINARY PART – III – SECTION 4 PUBLISHED BY AUTHORITY NEW DELHI, DECEMBER 27, 2017 SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 27th of December, 2017 SECURITIES AND EXCHANGE BOARD OF INDIA (SETTLEMENT OF ADMINISTRATIVE AND CIVIL PROCEEDINGS) (SECOND AMENDMENT) REGULATIONS, 2017 No. SEBI/LAD-NRO/GN/2017-18/025. ─ In exercise of the… Read More

Press Release on SEBI Board Meeting

Dec 28, 2017 PR No.: 68/2017                                                                                              SEBI Board Meeting The SEBI Board met in Mumbai today… Read More

India: Financial Sector Assessment Program 2017

Dec 21, 2017                                                                                                         … Read More

SEBI issues circular on Exemption application under Regulation 11 (1) of SEBI Takeover Code

CIRCULAR SEBI/HO/CFD/DCR1/CIR/P/2017/131                                                                                                         December 22,… Read More

SEBI Circular: Investments by FPIs in Government Securities

CIRCULAR IMD/FPIC/CIR/P/2017/129 December 20, 2017 To All Foreign Portfolio Investors through their designated Custodians of Securities The Depositories (NSDL and CDSL) Sir / Madam, Sub: Investments by FPIs in Government Securities 1. RBI in its Fourth Bi-monthly Policy Statement for the year 2015-16, dated September 29, 2015 had announced a Medium Term Framework (MTF) for… Read More

Disclosure of holding of specified securities and Holding of specified securities in dematerialized form

CIRCULAR SEBI/HO/CFD/CMD/CIR/P/2017/128 December 19, 2017 To, All the Recognized Stock Exchanges All Depositories Dear Sir/Madam, Sub: Disclosure of holding of specified securities and Holding of specified securities in dematerialized form. 1. This circular is in continuation to Circular No. CIR/CFD/CMD/13/2015 dated November 30, 2015, prescribing the manner of representation of holding of specified securities. 2.… Read More

SEBI circular on Categorization and Rationalization of Mutual Fund Schemes

CIRCULAR SEBI/HO/IMD/DF3/CIR/P/2017/126 December 4, 2017   All Mutual Funds/Asset Management Companies (AMCs)/ Trustee Companies/Boards of Trustees of Mutual Funds   Sir/ Madam, Subject: Categorization and Rationalization of Mutual Fund Schemes 1. SEBI, vide circular no. SEBI/HO/IMD/DF3/CIR/P/2017/114 dated October 6, 2017, has issued guidelines regarding categorization and rationalization of Mutual Fund Schemes. 2. Upon consideration of… Read More

Circular on Enhancing fund governance for Mutual Funds: SEBI

CIRCULAR SEBI/HO/IMD/DF2/CIR/P/2017/125 November 30, 2017   All Mutual Funds/ Asset Management Companies (AMCs)/ Trustee Companies/ Boards of Trustees of Mutual Funds   Sir/Madam, Sub: Enhancing fund governance for Mutual Funds In order to strengthen the governance structure for Mutual Funds (MFs), it has been decided to implement the following: A. Tenure of independent trustees and… Read More

SEBI issues Clarification to Circular on Prevention of Unauthorised Trading by Stock Brokers

CIRCULAR CIR/HO/MIRSD/MIRSD2/CIR/P/2017/124 November 30, 2017 To All Recognized Stock Exchanges Dear Sir / Madam, Sub: Clarification to Circular on Prevention of Unauthorised Trading by Stock Brokers 1. SEBI vide circular no. CIR/HO/MIRSD/MIRSD2/CIR/P/2017/108 dated September 26, 2017 has inter-alia specified that brokers shall execute trades of clients only after keeping evidence of the client placing such… Read More

Modification to Enhanced Supervision Circular by SEBI

CIRCULAR SEBI/HO/MIRSD/MIRSD2/CIR/P/2017/123 November 29, 2017 To The Managing Directors / Chief Executive Officers All Recognized Stock Exchanges Dear Sir / Madam, Sub: Modification to Enhanced Supervision Circular 1. SEBI vide circular no. SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 dated September 26, 2016, has issued guidelines covering broad areas for enhanced supervision based on the recommendation of the committee constituted by… Read More

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