Category - SEBI

Modification of Client Codes post Execution of Trades on National and Regional Commodity Derivatives Exchanges– Clarification

 CIRCULAR SEBI/HO/CDMRD/DMP/CIR/P/2016/73 August 19, 2016 To, The Managing Directors / Chief Executive Officers of All Commodity Derivatives Exchanges Dear Sir / Madam, Sub: Modification of Client Codes post Execution of Trades on National and Regional Commodity Derivatives Exchanges– Clarification 1. This circular is in reference to the SEBI circular No. SEBI/HO/CDMRD/ DMP/CIR/P/2016/43 dated March 29,… Read More

Annual System Audit of Stock Brokers / Trading Members of National Commodity Derivatives Exchanges

CIRCULAR SEBI/HO/CDMRD/DEICE/CIR/P/2016/70 August 11, 2016 To The Managing Directors All National Commodity Derivatives Exchanges Sir/Madam, Subject: Annual System Audit of Stock Brokers / Trading Members of National Commodity Derivatives Exchanges 1. Pursuant to Section 131 of the Finance Act, 2015 and Central Government notification F.No. 1/9/SM/2015 dated August 28, 2015, all recognized associations under the… Read More

SEBI introduces e-payment facility for payment of penalties, disgorgement amounts, etc

PR No. 131/2016 SEBI introduces e-payment facility for payment of penalties, disgorgement amounts, etc. In order to enable ease of paying penalties, disgorgement amounts, settlement amounts, legal charges and recovery amounts, SEBI is introducing an option for e-payment of such amounts. Such payments may be remitted to the SEBI accounts detailed below: Account No. for… Read More

Revised Formats for Financial Results and Implementation of Ind AS by listed entities

CIRCULAR CIR/IMD/DF1/69/2016 August 10, 2016 To All Listed Entities All Recognized Stock Exchanges Dear Sir / Madam, Sub: Revised Formats for Financial Results and Implementation of Ind AS by listed entities which have listed their debt securities and/or non-cumulative redeemable preference shares 1. SEBI vide Circular No. CIR/IMD/DF1/9/2015 dated November 27, 2015, had prescribed formats… Read More

SEBI Circular on Mutual Funds

CIRCULAR SEBI/HO/IMD/DF2/CIR/P/2016/68 August 10, 2016 All Mutual Funds/Asset Management Companies (AMCs)/ Trustee Companies/Boards of Trustees of Mutual Funds Sir/ Madam, Subject: Circular on Mutual Funds A. Prudential limits in sector exposure for Housing Finance Companies (HFCs) 1. Presently, the guidelines for sectoral exposure in debt oriented mutual fund schemes put a limit of 25% at… Read More

FAQs on SEBI(Delisiting of Equity Shares) Regulations, 2009

These FAQs offer only a simplistic explanation/clarification of terms/concepts related to the SEBI (Delisting of Equity Shares) Regulations, 2009 [“Delisting Regulations, 2009”]. Any such explanation/clarification that is provided herein should not be regarded as an interpretation of law nor be treated as a binding opinion/guidance from the Securities and Exchange Board of India [“SEBI”]. For… Read More

Discussion paper on ‘Strengthening of the Regulatory framework for Algorithmic Trading & Co-location’

The Security and Exchange Board of India has issued Discussion paper on 'Strengthening of the Regulatory framework for Algorithmic Trading & Co-location’. Please click on the below link to download the discussion paper: Discussion paper on Strengthening of the Regulatory framework for Algorithmic Trading & Co-location Read More

Foreign Investment in Rupee denominated bonds issued overseas by Indian Corporates

CIRCULAR SEBI/HO/IMD/FPIC/CIR/P/2016/67 August 04, 2016 To All Foreign Portfolio Investors through their designated Custodians of Securities The Depositories (NSDL and CDSL) Sir / Madam, Sub:Foreign Investment in Rupee denominated bonds issued overseas by Indian Corporates 1. RBI in its Fourth Bi-monthly Policy Statement for the year 2015-16, dated September 29, 2015 had permitted Indian corporates… Read More

CLIENT REGISTRATION DOCUMENTS IN VERNACULAR LANGUAGES

PR No. 130/2016   CLIENT REGISTRATION DOCUMENTS IN VERNACULAR LANGUAGES   SEBI had prescribed the following documents in order to make clients aware of their rights and obligations vis-à-vis the stock broker & sub-broker, make the clients aware of the risks involved in trading in securities market, bring in uniformity in the documents being signed… Read More

Discussion Paper on review of framework for Institutional Trading Platform

1. Background 1.1. The regulatory framework for Institutional Trading Platform (“ITP”) was put in place vide amendments notified to SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009 (“ICDR Regulations”) on August 14, 2015. Various enabling amendments to other SEBI regulations i.e. on Takeover, Listing, Delisting and AIF were also notified. 1.2. Subsequently, SEBI has… Read More

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