SEBI

Amendment to Investor Grievance Redressal System and Arbitration Mechanism

The SEBI (Securities and Exchange Board of India) has notified a Circular (CIR/CDMRD/DEICE/CIR/P/2017/77) on 11th July amending the Investor Grievance Redressal System and Arbitration Mechanism. The SEBI has issued the circular under Section 11(1) of the SEBI Act 1992, read with Section 10 of the Securities Contracts (Regulation) Act, 1956 to protect the interests of… Read More

Tags: ArbitrationInvestor Grievance Redressal System and Arbitration MechanismNational Commodity Derivatives ExchangesSEBI

SEBI Board Meeting – Tax related Policies for MFs, Review of Corporate Governance and other decisions

The SEBI Board met in New Delhi today and inter-alia took the following important decisions: I. Review of Corporate Governance norms in India for listed companies The Board has approved the proposals to amend the Listing Agreement with respect to corporate governance norms for listed companies. The amendments, inter-alia, propose to align the provisions of… Read More

Tags: Board of directorsCompanies ActCorporate GovernanceIndiaMutual fundNew DelhiSEBISecurities & Exchange Board of India

Front-running – Applicable to non-intermediaries?

Front-running is an illegal practice where, a stock broker or any other intermediary derives benefit from the advance knowledge of its customer™s trade. Definitions The Eight edition of Black™s law dictionary defines front-running as A broker™s or analyst™s use of non public information to acquire securities or enter into options or future contracts for his or her own benefit, knowing that… Read More

Tags: 2003 RegulationBlack's Law DictionaryCapital marketDipak Patel OrderFront runningProhibition of FraudulentSATSEBISecurities & Exchange Board of IndiaSecurities marketThe HonourableUnfair competition

SEBI First International Research Conference-2014

Securities and Exchange Board of India (SEBI), in its silver jubilee year, is organizing its First International Research Conference during January 27-28, 2014 in Mumbai. The theme of the Conference is HFT, Algo Trading and Co-location.  SEBI has invited academicians/market practitioners/regulators, having experience in the field, from countries such as USA, Spain, Australia, Canada, Japan,… Read More

Tags: BusinesscanadaIndiaInvestingMumbaiSEBISecurities & Exchange Board of IndiaUnited States

IT Governance For Depositories

CIRCULAR CIR/MRD/DMS/ 03 /2014 January 21, 2014 To All Depositories Dear Sir/ Madam Subject: (Information Technology) IT Governance For Depositories 1. SEBI constituted the Depository System Review Committee (DSRC) to undertake a comprehensive review of the Indian depository system. Based on the recommendations of DSRC, following guidelines are issued to strengthen the Information Technology (IT)… Read More

Tags: Depository System Review CommitteeExchange Board of India ActIndiaInformation SecurityInformation technologySEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992

SEBI Circular on FII Position Limits in Exchange Traded Interest Rate Futures (IRF)

CIRCULAR CIR/MRD/DRMNP/2/2014 January 20, 2014 To Depositories, Recognized Stock Exchanges, Recognized Clearing Corporations, All Foreign Institutional Investors through their designated Custodians of Securities Dear Sir/Madam, Sub: FII Position Limits in Exchange Traded Interest Rate Futures (IRF) 1. SEBI in consultation with RBI, vide circular CIR/MRD/DRMNP/35/2013 dated December 5, 2013 prescribed the framework for Stock Exchanges… Read More

Tags: FIIInstitutional investorInterest rate futureNational Securities Depository LimitedNSDLSEBISecurities & Exchange Board of IndiaStock exchange

Operational Guidelines for Designated Depository Participants

CIRCULAR CIR/IMD/FIIC/02/2014                            January 08, 2014  To, 1. All Custodians of Securities 2. All Foreign Institutional Investors through their designated Custodians of Securities 3. Depository Participants through Depositories 4. All Depositories 5. All Recognized Stock Exchanges Dear Sir/ Madam, Sub: Operational Guidelines for… Read More

Tags: Depository participantExchange Board of India ActInstitutional investorSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Security (finance)Stock exchange

Reporting of Trades in Securitised Debt Instruments in Trade Reporting Platforms and Clearing and Settlement of trades in Securitised Debt Instruments through Clearing Corporations

Circular CIR/IMD/DF/1/2014                                               January 07, 2014 To: All Stock Exchanges, All Clearing Corporations, All Mutual Funds, Asset Management Companies (AMCs), All Foreign Institutional Investors/ sub-accounts/ Qualified Foreign Investors/ Foreign Portfolio Investors (through custodians),… Read More

Tags: Institutional investorMCX Stock ExchangeMutual fundSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Securitised Debt InstrumentStock exchange

Delivery Instruction Slip (DIS) Issuance and Processing

CIRCULAR  CIR/MRD/DP/ 01/2014                                                                          January 07, 2014 To, The Depositories, Dear Sir / Madam, Sub: Delivery Instruction Slip (DIS) Issuance and Processing 1.   SEBI had earlier issued circular SEBI/MRD/Dep/Cir-03/2007 dated February 13, 2007 and SEBI/MRD/Dep/Cir-3/2008 dated February 28, 2008 on safeguards to address the concerns of the investors on transfer of securities in dematerialized mode. 2.… Read More

Tags: Barack ObamaBeneficial OwnerDepository participantExchange Board of India ActGlossary of chessSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992

Excerpts from SEBI Board Meeting

The SEBI Board met in Mumbai today and took the following decisions: 1. The Amendment to Securities and Exchange Board of India (Collective Investment Schemes) Regulations, 1999 The Securities Laws (Amendment) Ordinance, 2013 provides for regulation of pooling of funds under any scheme or arrangement, involving a corpus amount of one hundred crore rupees or… Read More

Tags: Collective investment schemeFinancial Stability BoardMumbaiNational Housing BankSearch and seizureSEBISecurities & Exchange Board of IndiaShelf registration

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