Investor

Facilitating transaction in Mutual Fund schemes through the Stock Exchange Infrastructure

CIRCULAR CIR/MRD/DSA/32/2013 October 04, 2013 All Recognised Stock Exchanges, All Recognised Clearing Corporation, All Depositories. Sir / Madam, Subject : Facilitating transaction in Mutual Fund schemes through the Stock Exchange Infrastructure. 1. SEBI vide circular SEBI /IMD / CIR No.11/183204/ 2009 dated November 13, 2009 and circular CIR/IMD/DF/17/2010 dated November 9, 2010, on captioned subject, facilitate purchasing… Read More

Tags: IndiaInvestorMutual fundMutual funds in IndiaSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Stock exchange

SEBI circular w.r.t. Investor Grievance Redressal Mechanism

CIRCULAR CIR/MRD/ICC/30/2013                          26.09.2013 The Managing Director/Executive Director, All Stock Exchanges. Dear Madam/Sir, Subject: Investor Grievance Redressal Mechanism 1) Reference may be made to CIR/MRD/DSA/03/2013 dated January 20, 2012, CIR/MRD/DSA/24/2010 dated August 11, 2010 and MRD/DoP/SE/Cir-38/2004 dated October 28, 2004. 2) With a view… Read More

Tags: BusinessDepositoriesInvestingInvestorSecurities & Exchange Board of IndiaStock BrokerStock exchangeStocks and Bonds

IT Dept Notification on Premature encashment of 8% Savings (Taxable) Bonds, 2003

The captioned bonds, issued with effect from April 21, 2003, vide Government of India Notification No. F 4(10)-W&M/2003 dated March 21, 2003 and subsequent Notification F. No. 4(10)-W&M/2003 dated April 2, 2003, are repayable on the expiry of six years from the date of issue. Premature encashment was not permissible under this scheme. 2. The… Read More

Tags: BondsDue dateGovernment of IndiaInterestInvestmentInvestorNagpurRugby league positions

SEBI Circular for Application for change in category of the Alternative Investment Fund

Securities and Exchange Board of India CIRCULAR CIR/IMD/DF/12/2013 August 07, 2013 To All Alternative Investment Funds Dear Sir / Madam, 1. SEBI (Alternative Investment Funds) Regulations, 2012 (AIF Regulations) were notified on May 21, 2012. Sub: Application for change in category of the Alternative Investment Fund Regulation 7(2) of AIF Regulations specifies as under: "An… Read More

Tags: AIFAIF RegulationsAlternative Investment FundInvestmentInvestorSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992

MCA initiatives to Protect the Interests of Investors

The Ministry of Corporate Affairs has initiated several steps to protect the interests of investors through programmes of investors™ awareness and education. Giving this information in written reply to a question in the Rajya Sabha today, Shri Sachin Pilot, Minister of Corporate Affairs, said that important among such steps are : (i) Undertaking investor awareness… Read More

Tags: Corporate Affairs MinistryDoordarshanIndiaInstitute of Chartered Accountants of IndiaInstitute of Cost Accountants of IndiaInvestorRajya SabhaSachin Pilot

SEBI Circular for operational, prudential and reporting requirements for Alternative Investment Funds

CIRCULAR CIR/IMD/DF/10/2013 July 29, 2013 To All Alternative Investment Funds All custodians of Category III Alternative Investment Funds Dear Sir / Madam, Sub: Operational, Prudential and Reporting Norms for Alternative Investment Funds (AIFs) SEBI (Alternative Investment Funds) Regulations, 2012 (AIF Regulations) were  notified on May 21, 2012. Regulations 18 (c) and (d) of the SEBI… Read More

Tags: Alternative Investment FundBoardCategories of New Testament manuscriptsIndiaInvestorRegulationSEBISecurities & Exchange Board of India

CLR Snippets | SEBI initiates process of refund to the genuine investors in the matter of Sahara

As per the order of the Hon'ble Supreme Court dated May 8, 2013, SEBI  has initiated the process of refund to the genuine investors who have submitted /would be submitting their claims, in the format (available at website www.sebi.gov.in),  after verifying the  genuineness  of the documents . The order of the Hon'ble Supreme Court dated May 8, 2013… Read More

Tags: InvestorSaharaSahara India PariwarSEBISecurities and Exchange Board of IndiaSubrata RoySupreme CourtSupreme Court of the United States

Regulatory action against Companies and their directors for non-redressal of Investor Grievances

SEBI  takes  appropriate  enforcement  actions  (adjudication,  directions  etc)  as  provided under  the  law  where  progress  in  redressal  of  investor  grievances  is  not  satisfactory. Accordingly,  directions  under  section  11B/11  (4)  (b)  of  SEBI  Act  were  passed  against  the following  companies  and  its  directors  debarring  them  from  accessing  the  securities market  and  from  buying,  selling  or  dealing … Read More

Tags: AsiaCompanyGrievanceGujaratIndiaInvestorSecurities & Exchange Board of IndiaTelemedia

CLR Important :: Redress of investor grievances through SEBI Complaints Redress System (SCORES)

CIRCULAR C I R/OIAE/1 /2013 April 17, 2013 All Companies whose securities are listed on Stock Exchanges (through Stock Exchanges), All recognized Stock Exchanges Dear Sir/Madam, Sub: Redress of investor grievances through SEBI Complaints Redress System (SCORES) 1.        Pursuant to the provisions of Section 15C SEBI Act, 1992, all listed companies are hereby called… Read More

Tags: Bandra Kurla ComplexExchange Board of India ActInvestorMumbaiSEBISecurities and Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Stock exchange

SEBI prevents attempt to mis-sell an investment product

SEBI today prevented an attempt to mis-sell an investment product to an investor in Delhi by a person claiming as agent of mutual funds. SEBI had received a complaint from an investor (hereinafter referred to as ' complainant') that some unknown persons claiming to be 'agents' and 'brokers' of Mutual Funds and insurance companies have… Read More

Tags: DelhiDelhi PoliceFinancial servicesInvestmentInvestorMutual fundSEBISecurities & Exchange Board of India

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