Securities and Exchange Board of India Act 1992

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

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

Securities And Exchange Board Of India (Foreign Portfolio Investors) Regulations, 2014

Excerpts from the Securities And Exchange Board Of India (Foreign Portfolio Investors) Regulations, 2014 THE GAZETTE OF INDIA EXTRAORDINARY PART III SECTION 4 PUBLISHED BY AUTHORITY NEW DELHI, JANUARY 7, 2014 SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 7th January, 2014 SECURITIES AND EXCHANGE BOARD OF INDIA (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014 No. LAD-NRO/GN/2013-14/36/12.-… Read More

Tags: Depository participantExchange Board of India ActIndiaInstitutional investorNew DelhiReserve Bank of IndiaSecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992

SEBI issues changes in Know Your Client (KYC) Requirements in Part 1 of Account Opening Form

CIRCULAR CIR/MIRSD/ 13 /2013 December 26, 2013 1. All Recognized Stock Exchanges 2. Stock Brokers through Recognized Stock Exchanges 3. Depository Participants through Depositories 4. Association of Mutual Funds in India 5. Mutual funds through AMFI 6. Portfolio Managers 7. KYC Registration Agencies (KRAs) 8. Alternative Investment Funds (AIFs) 9. Collective Investment Schemes (CIS) 10.… Read More

Tags: AOFCollective investment schemeIndiaKYCMutual fundSecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Stock exchange

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

SEBI Rationalization of Periodic Call Auction for Illiquid Scrips

Securities and Exchange Board of India CIRCULAR CIR/MRD/DP/38 /2013                                                                December 19, 2013 To All Stock Exchanges Dear Sir/Madam, Sub: Rationalization of Periodic Call Auction… Read More

Tags: AuctionBombay Stock ExchangeMarket capitalizationSecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992SMACStock exchangeTrading day

Declaration and Undertaking regarding PCC, MCV or equivalent structure by FIIs

CIRCULAR          CIR/IMD/FIIC/21/ 2013 December 19, 2013 To, All Foreign Institutional Investors through their designated Custodians of Securities   Dear Sir/ Madam,   Sub: Declaration and Undertaking regarding PCC, MCV or equivalent structure by FIIs. SEBI vide circular CIR/IMD/FIIC/1/2010 dated April 15, 2010 had mandated all Foreign Institutional Investors/ Sub Accounts to submit Declaration and Undertaking… Read More

Tags: CircleExchange Board of India ActIndiaInstitutional investorSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Stock exchange

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

Exchange Traded Cash Settled Interest Rate Futures (IRF) on 10-Year Government of India Security

CIRCULAR CIR/MRD/DRMNP/35/2013                                           December 05, 2013 To Recognized Stock Exchanges Recognized Clearing Corporations Dear Sir/Madam, Sub: Exchange Traded Cash Settled Interest Rate Futures (IRF) on 10-Year Government of India Security 1. SEBI vide circular No.… Read More

Tags: AnnexationGovernment of IndiaIndiaRisk managementSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Stock exchange

SEBI Simplification of Demat Account opening process

CIRCULAR CIR/MIRSD/12/2013                                                                        December 04, 2013 The Managing Directors CDSL and NSDL Sub: Simplification of demat account opening process 1.   SEBI has taken a number of steps in the recent past to simplify the Account opening and KYC process in the securities markets. In continuation of the efforts in the same direction, it has now been… Read More

Tags: Beneficial OwnerCentral Depository Services LimitedDepositoriesDepository participantSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992

Illustrative format of Statement of Assets & Liabilities in SEBI (ICDR) Regulations, 2009

CIRCULAR CIR/CFD/DIL/15/2013 December 3, 2013 To All Registered Merchant Bankers Dear Sir/Madam, Sub: Illustrative format of Statement of Assets & Liabilities in SEBI (ICDR) Regulations, 2009 1. Regulation - (2)(IX)(B)(9)(f) of Part-A of Schedule VIII of SEBI (ICDR) Regulations, 2009 provides for the illustrative format of Statement of Assets and Liabilities in offer document which… Read More

Tags: AnnexationCompanies ActICDRSchedule VI of Companies ActSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992The Companies Act 1956

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