Regulation

Notification under regulation 3 of the SEBI (Certification of Associated Persons in the Securities Markets) Regulations, 2007

THE GAZETTE OF INDIA EXTRAORDINARY PART - III - SECTION 4 PUBLISHED BY AUTHORITY NEW DELHI,  JANUARY  27, 2014 SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the  27th  day of January, 2014 Notification under  regulation  3  of  the  Securities  and  Exchange  Board  of  India (Certification of Associated Persons in the Securities Markets) Regulations, 2007.… Read More

Tags: BoardCertified Financial PlannerFinancial Planning Standards Board IndiaIndiaMumbaiNational Institute of Securities MarketsRegulationSecurities & Exchange Board of India

RBI Clarifications on Issue of Non convertible/ redeemable bonus preference shares or debentures

RBI/2013-2014/428 A.P. (DIR Series) Circular No.84 January 6 , 2014 To All Category - I Authorised Dealer banks Madam/Sir, Issue of Non convertible/ redeemable bonus preference shares or debentures - Clarifications Attention of Authorised Dealers Category- I (AD Category-I) banks is invited to Regulation (2ii) and Regulation 5 of the Foreign Exchange Management (Transfer or… Read More

Tags: Companies Actforeign direct investmentForeign Exchange Management ActIndiaPreferred stockRegulationReserve Bank of IndiaScheme of Arrangement

Qualified Central Counterparties in Securities Market

National Securities Clearing Corporation Limited (NSCCL), Indian Clearing Corporation Limited (ICCL) and MCX-SX Clearing Corporation Limited (MCX-SXCCL) are the Qualified Central Counterparties (QCCPs) in the Indian Securities Market jurisdiction. These clearing corporations have qualified as QCCPs in view of the fact that these are regulated by Securities and Exchange Board of India (SEBI) under SEBI… Read More

Tags: Capital marketFinancial Market InfrastructureFinancial Stability BoardInternational Organization of Securities CommissionsIOSCORegulationSecurities & Exchange Board of IndiaSecurity (finance)

Borrowing and Lending in Rupees – Investments by persons resident outside India in the tax free, secured, redeemable, non-convertible bonds

RBI/2013-14/416 A.P. (DIR Series) Circular No.81 December 24, 2013 To All Authorised Dealer Category - I Banks Madam / Dear Sir Borrowing and Lending in Rupees - Investments by persons resident outside India in the tax free, secured, redeemable, non-convertible bonds Attention of Authorized Dealer Category - I (AD Category - I) banks is invited… Read More

Tags: Anno DominiCategories of New Testament manuscriptsCentral bankConvertible bondForeign Exchange Management ActIndiaRegulationRupee

SEBI Consultation paper on Infrastructure Investment Trusts

SEBI is inviting Public comments on the consultative paper on the aforesaid proposals as laid out in the Document attached here. Comments may be forwarded by email to Ms. Nila Salil Khanolkar, Assistant General Manager (nila@sebi.gov.in) or Mr. Naveen Gupta, Assistant Manager (naveeng@sebi.gov.in) latest by January 20, 2014. The Comments should be given in the… Read More

Tags: BusinessCompanies ActEmployee benefitInsider TradingPublic companyRegulationSecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992

Deposit Requirements for members of the Debt Segment

CIRCULAR CIR/MRD/DRMNP/37/2013                                           December 19, 2013 To All recognized Stock Exchanges and Clearing Corporations Dear Sir / Madam, Sub: Deposit Requirements for members of the Debt Segment 1. SEBI vide circular no CIR/MRD/DP/03/2013 dated January 24, 2013 prescribed guidelines for providing dedicated debt segment on stock exchanges. Subsequently, SEBI (Stock Brokers and Sub-Brokers) Regulations was amended to enable registration… Read More

Tags: BusinessClearing CorporationCorporationDebtJanuary 24 2013Proprietary tradingRegulationSecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Stock BrokerStock exchangeStockbroker

Investment in Credit Information Companies

DBOD.CID.BC.No.74/20.16.042/2013-14 November 29, 2013 All Credit Information Companies Investment in Credit Information Companies In exercise of the powers conferred by sub-section (1) of Section 11 of Credit Information Companies (Regulation) Act, 2005, and in supersession of its direction on Investment in Credit Information Companies dated November 20, 2008, Reserve Bank of India, being satisfied that… Read More

Tags: AsiaFinancial servicesforeign direct investmentIndiaInvestmentNon-resident Indian and person of Indian originRegulationReserve Bank of India

Consultation Paper seeking Public Comments on proposed SEBI (Research Analyst) Regulations

The consultation paper and draft SEBI (Research Analyst) Regulations have been placed on the SEBI website for public comments. Comments are invited on the Consultation Paper and draft Regulations latest by December 21, 2013. The full text of the Consultation Paper and draft Regulations is available on Corporate Law Reporter (www.corporatelawreporter.com) for download. Consultation Paper and Draft… Read More

Tags: BusinessDecember 21 2013IndiaIndiabullsMumbaiRegulationSecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992

Draft Regulations -SEBI (Procedure for Search and Seizure) Regulations, 2013, for public comments.

Draft Regulations -SEBI (Procedure for Search and Seizure) Regulations, 2013, for public comments. 1. Securities Laws (Amendment) Second Ordinance, 2013 was promulgated on September 16, 2013 conferring explicit powers on the Chairman, SEBI to authorise Investigating Authority or any other officer of SEBI to conduct search and seizure under sub-section (8) of section 11C of… Read More

Tags: ChairmanExchange Board of India ActRegulationSearch and seizureSEBISEBI ActSecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992

Foreign Direct Investment in Financial Sector Transfer of Shares

RBI/2013-14/366 A. P. (DIR Series) Circular No.72 November 11, 2013 To All Category-I Authorised Dealer Banks Madam / Sir, Foreign Direct Investment in Financial Sector Transfer of Shares Attention of Authorized Dealer Category-I (AD Category-I) banks is invited to Regulation 10(A)(v) of the Foreign Exchange Management (Transfer or Issue of Security by a Person Resident… Read More

Tags: Anno DominiCategories of New Testament manuscriptsFinancial servicesforeign direct investmentForeign Exchange Management ActIndiaRegulationReserve Bank of India

Role of SEBI in Capital Market: Developments and Challenges

INTRODUCTION The SEBI, that is, the Securities and the Exchange Board of India, is the national regulatory body for the securities market, set up under the securities and Exchange Board of India Act, 1992, to protect the interest of investors in securities and to promote the development of, and to regulate the securities market and… Read More

Tags: BusinessCapital marketExchange Board of India ActIndiaMutual fundRegulationSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Stock exchange

The Securities Laws (Amendment) Bill 2013 – Complete Text as introduced in the Lok Sabha

The Securities Laws (Amendment) Bill 2013, which further amends the Securities and Exchange Board of India Act, 1992, the Securities Contracts (Regulation) Act, 1956 and the Depositories Act, 1996, has been introduced in the Lok Sabha. The Bill as introduced in the Lok Sabha has been attached here for reference. Securities Laws (Amendment) Bill 2013 Highlights of… Read More

Tags: AmendmentBillBill 2013Depositories ActExchange Board of India ActFinancial regulationGazette of IndiaLawLokSabhaMember of ParliamentPresident of IndiaRajya SabhaRegulationSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Securities Laws

SEBI releases new formats for SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011

CIRCULAR CIR/CFD/POLICYCELL/11/2013                                                                             October 21, 2013 To All Recognised Stock Exchanges All Registered Merchant Bankers Dear Sir/Madam, Sub:… Read More

Tags: Amit TandonForeign Exchange Management ActIndiaMumbaiRegulationSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Stock exchange

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