Category - SEBI

Staggered delivery, early delivery system, early pay-in facility, penalty on delivery default, fixation of FSP and changes in expiry dates

CIRCULAR SEBI/HO/CDMRD/DRMP/CIR/P/2016/90 September 21, 2016 To, The Managing Directors/Chief Executve Officers, National Commodity Derivatives Exchanges Sir/Madam, Sub: Staggered delivery, early delivery system, early pay-in facility, penalty on delivery default, fixation of FSP and changes in expiry dates 1. As per Section 131[B]of the Finance Act, 2015 all rules, directions, guidelines, instructions, circulars, or any like… Read More

Permission for trading in futures contracts and modification in contract specifications at exchange level

CIRCULAR SEBI/HO/CDMRD/DRMP/CIR /2016/88 September 20, 2016 To, The Managing Directors/Chief Executve Officers, National Commodity Derivatives Exchanges Sir/Madam, Sub: Permission for trading in futures contracts and modification in contract specifications at exchange level 1. As per Section 131 (4) of the Finance Act, 2015 all rules, directions, guidelines, instructions, circulars, or any like instruments, made by… Read More

Consolidated Account Statement

CIRCULAR SEBI/HO/IMD/DF2/CIR/P/2016/89 September 20, 2016 All Mutual Funds/Asset Management Companies (AMCs)/ Trustee Companies/Boards of Trustees of Mutual Funds Sir/ Madam, Subject: Consolidated Account Statement A. Please refer to SEBI circular dated March 18, 2016. Clause A of the aforementioned circular on consolidated account statement has been partially modified and shall read as follows: “Consolidated Account… Read More

Unique Client Code (UCC) and Mandatory requirement of Permanent Account Number (PAN)

CIRCULAR SEBI/HO/CDMRD/DMP/CIR/P/2016/87 September 16, 2016 To, The Managing Directors / Chief Executive Officers All Commodity Derivatives Exchanges Dear Sir / Madam, Sub: Unique Client Code (UCC) and Mandatory requirement of Permanent Account Number (PAN) 1. As per Section 131(4) of Finance Act, 2015 all rules, directions, guidelines, instructions, circulars, or any like instruments, made by… Read More

Settlement Guarantee Fund, Stress Testing and Base Minimum Capital

CIRCULAR SEBI/HO/CDMRD/DRMP/CIR/P/2016/86 September 16, 2016 To, The Managing Directors/Chief Executve Officers, National Commodity Derivatives Exchanges Sir/Madam, Sub: Settlement Guarantee Fund, Stress Testing and Base Minimum Capital 1. As per Section 131 (4) of the Finance Act, 2015 all rules, directions, guidelines, instructions, circulars, or any like instruments, made by the erstwhile Forward Markets Commission (FMC)… Read More

Report of the Working Group on Development of Corporate Bond Market in India

Chapter 1: Introduction 1. It has been well recognized that a well-developed corporate bond market complements a sound banking system in providing an alternative source of finance to the real sector for its long-term investment needs. An active corporate bond market also helps in the diversification of risks in the financial system. In order to… Read More

Standardization and Simplification of Procedures for Transmission of Securities

CIRCULAR SEBI/HO/MIRSD3/CIR/P/2016/0000000085 September 15 , 2016 To All recognized Stock Exchanges All Registrars to an Issue and Share Transfer Agents registered with SEBI All Depositories, Sir / Madam, Sub: Standardization and Simplification of Procedures for Transmission of Securities 1. With a view to make the process of transmission of securities more efficient and investor friendly,… Read More

Transaction Charges by Commodity Derivatives Exchanges

CIRCULAR SEBI/HO/CDMRD/DMP/CIR/P/2016/82 September 07, 2016 To, The Managing Directors / Chief Executive Officers of All Commodity Derivatives Exchanges Sir / Madam, Sub: Transaction Charges by Commodity Derivatives Exchanges 1. The Commodity Derivatives Exchanges are collecting transaction charges from the members for the trades executed on their trading platform. In order to promote competition in the… Read More

Daily Price Limits (DPL) for Non-Agricultural Commodity Derivatives/ First Day DPL for All Commodity Derivatives

CIRCULAR SEBI/HO/CDMRD/DMP/CIR/P/2016/83 September 07, 2016 To, The Managing Directors / Chief Executive Officers National Commodity Derivatives Exchanges Sir / Madam, Sub.: Daily Price Limits (DPL) for Non-Agricultural Commodity Derivatives/ First Day DPL for All Commodity Derivatives 1. As per Section 131(4) of Finance Act, 2015 all rules, directions, guidelines, instructions, circulars, or any like instruments,… Read More

Restrictions on Promoters and Whole-Time Directors of Compulsorily Delisted Companies Pending Fulfillment of Exit Offers to the Shareholders

CIRCULAR SEBI/HO/CFD/DCR/CIR/P/2016/81 September 07, 2016 To All Listed Entities All Registered Registrar & Share Transfer Agents All Depositories All Recognised Stock Exchanges Dear Sir/Madam, Sub: Restrictions on Promoters and Whole-Time Directors of Compulsorily Delisted Companies Pending Fulfillment of Exit Offers to the Shareholders 1. In terms of section 21A of the Securities Contracts (Regulation) Act,… Read More

Guidelines for Due Date Rate (DDR) fixation for Regional Commodity Derivatives Exchanges

CIRCULAR SEBI/HO/CDMRD/DRMP/CIR/P/2016/79 September 07, 2016 To, The Managing Directors/Chief Executve Officers, Regional Commodity Derivatives Exchanges Sir/Madam, Sub: Guidelines for Due Date Rate (DDR) fixation for Regional Commodity Derivatives Exchanges 1. As per Section 131 (4) of the Finance Act, 2015 all rules, directions, guidelines, instructions, circulars, or any like instruments, made by the erstwhile Forward… Read More

Mechanism for regular monitoring of and penalty for shortcollection/non-collection of margins from clients

CIRCULAR SEBI/HO/CDMRD/DRMP/CIR/P/2016/80 September 07, 2016 To, The Managing Directors/Chief Executve Officers, National Commodity Derivatives Exchanges Sir/Madam, Sub: Mechanism for regular monitoring of and penalty for shortcollection/non-collection of margins from clients 1. As per Section 131 (4) of the Finance Act, 2015 all rules, directions, guidelines, instructions, circulars, or any like instruments, made by the erstwhile… Read More

FAQS on SEBI circular CIR/IMD/FPI&C/59/2016 dated June 10, 2016

Frequently Asked Questions (FAQs) on SEBI circular CIR/IMD/FPI&C/59/2016 dated June 10, 2016 FAQ 1. The Beneficial Owner is defined in sub rule (3) of Rule (9) of the Prevention of Money Laundering (Maintenance of Records) Rules, 2005 (“PMLA Rule 9”) as a natural person holding in excess of the threshold, 15% or 25% as applicable. The… Read More

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