Category - SEBI

SEBI clarifies on electronic book mechanism for issuance of securities on private placement basis

CIRCULAR SEBI/HO/DDHS/CIR/P/2018/122 August 16, 2018 To All Recognized Stock Exchanges (except Commodity Exchanges) All Recognized Depositories Issuers of debt securities/NCRPS Merchant Bankers and Brokers registered with SEBI Registrars to an Issue Primary Dealers registered with RBI Dear Sir / Madam, Sub: Electronic book mechanism for issuance of securities on private placement basis - Clarifications 1.… Read More

SEBI to streamline the process of public issue under the its Regulations

CIRCULAR CIR/DDHS/P/ 121/2018 Date: August 16, 2018 To Recognized Stock Exchanges (other than commodity stock exchanges) Self-Certified Syndicate Banks, Depositories Merchant Bankers, Stock Brokers Registrars to an Issue and Share Transfer Agents Depository Participants, Bankers to an Issue Dear Sir/Madam, Sub.: Streamlining the process of public issue under the SEBI (Issue and Listing of Debt… Read More

SEBI clarifies applicability of amendment to (LODR) Regulations mandating transfer of securities in demat form with a depository

Aug 10, 2018 PR No.: 34/2018 Amendment to SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 mandating transfer of securities in dematerialized form with a depository SEBI amended Regulation 40 of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 wherein it was intimated that transfer of securities shall not be processed unless the securities are held… Read More

SEBI enhances monitoring of Qualified Registrars to an Issue and Share Transfer Agents

CIRCULAR SEBI/HO/MIRSD/DoP/CIR/P/2018/ 119 August 10, 2018 To, All Registrars to an Issue and Share Transfer Agents registered with SEBI Dear Sir/ Madam, Subject: Enhanced monitoring of Qualified Registrars to an Issue and Share Transfer Agents 1. SEBI constituted a Committee under the Chairmanship of Shri R. Gandhi, Former Deputy Governor, Reserve Bank of India to… Read More

SEBI seeks comments on Report submitted by the Committee on Fair Market Conduct

Securities Exchange Board of India Press Release Aug 09, 2018 PR No.: 33/2018 SEBI constituted a Committee on Fair Market Conduct in August, 2017 under the Chairmanship of Shri T.K. Viswanathan, Ex-Secretary General, Lok Sabha and Ex- Law Secretary. The Committee was mandated to review the existing legal framework to deal with market abuse to ensure… Read More

SEBI issues clarification on strengthening of Guidelines and Raising Industry standards for RTAs, Issuer Companies and Banker to an Issue

Securities and Exchange Board of India CIRCULAR SEBI/HO/MIRSD/DOS3/CIR/P/2018/115 July 16, 2018 To, All Registrars to an Issue and Share Transfer Agents registered with SEBI All Listed entities (Through Stock Exchanges) All Recognised Stock Exchanges Dear Sir / Madam, Subject: Strengthening the Guidelines and Raising Industry standards for RTAs, Issuer Companies and Banker to an Issue… Read More

SEBI discontinues the practice of acceptance of cash by Stock Brokers

CIRCULAR SEBI/HO/MIRSD/DOP/CIR/P/2018/113 July 12, 2018 To, All Recognised Stock Exchanges Dear Sir / Madam, Subject: Discontinuation of acceptance of cash by Stock Brokers 1. Please refer to SEBI circular SEBI/MRD/SE/Cir- 33/2003/27/08 dated August 27, 2003, regarding Mode of Payment and Delivery. 2. Government of India has promoted various means for transfer / receipt of funds… Read More

SEBI issues circular on Investment by FPI through primary market issuances

CIRCULAR IMD/FPIC/CIR/P/2018/114 July 13, 2018 To 1. All Foreign Portfolio Investors (through their Custodian of Securities) 2. All Custodians 3. The Depositories (NSDL and CDSL) 4. All Registrar and Transfer Agents 5. All Merchant Bankers Dear Sir / Madam, Sub: Investment by Foreign Portfolio Investors (FPI) through primary market issuances 1. Regulation 21(7) of SEBI… Read More

SEBI releases circular on Review of Adjustment of corporate actions for Stock Options

CIRCULAR CIR/MRD/DoP-1/P/00108/2018 July 5, 2018 To All Stock Exchanges Dear Sir/Madam, Sub: Review of Adjustment of corporate actions for Stock Options. 1. SEBI, vide Circular No. SMDRP/DC/CIR- 8/01 dated June 21, 2001, prescribed a framework for adjustment of corporate actions for stock option contracts. Further, SEBI, vide Circular No. SMDRP/DC/CIR-15/02 dated December 18, 2002, set… Read More

Tags: Adjustment of corporate actions for Stock OptionsSEBI

SEBI release master circular on Anti-Money Laundering Standards and Combating the Financing of Terrorism under PMLA

MASTER CIRCULAR SEBI/ HO/ MIRSD/ DOS3/ CIR/ P/ 2018/ 104 July 04, 2018 To, All Intermediaries registered with SEBI under Section 12 of the Securities and Exchange Board of India Act, 1992. (Through the stock exchanges for stock brokers and sub brokers, depositories for depository participants, Association of Mutual Funds in India (AMFI) for Asset… Read More

Tags: Guidelines on Anti-Money LaunderingSEBIstock brokers and sub brokers

SEBI circular on Overseas Investment by Alternative Investment Funds (AIFs) / Venture Capital Funds (VCFs)

Circular SEBI/HO/IMD/DF1/CIR/P/2018/103/2018 July 3, 2018 All Alternative Investment Funds, All Venture Capital Funds (registered under erstwhile SEBI (Venture Capital Funds) Regulations, 1996) Dear Sir / Madam, Subject : Overseas Investment by Alternative Investment Funds (AIFs) / Venture Capital Funds (VCFs). 1. SEBI (Alternative Investment Funds) Regulations, 2012 (“AIF Regulations”) were notified on May 21, 2012… Read More

Tags: Alternative Investment FundsSEBIVenture Capital Funds (VCFs).

Shri S. K. Mohanty appointed as Whole Time Member, SEBI

Jun 25, 2018 PR No.: 21/2018 Shri S. K. Mohanty takes charge as Whole Time Member, SEBI Shri S.K. Mohanty has taken charge as Whole Time Member, Securities and Exchange Board of India in Mumbai today for a tenure of three years or until further orders, whichever is earlier. Prior to this assignment, Shri Mohanty served… Read More

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

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