Securities & Exchange Board of India

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

Prosecution Architecture Under The Companies Act 2013

Foreword Mechanism For Criminal Proceedings Under The Present Companies Act 1956 Generally at the time of scrutinizing the Balance Sheet and Other Financial Statements of the Company, if Registrar of Companies come across any lapses on part of the Company in recording the transactions and financial irregularities etc. and observed provisions of Companies Act 1956… Read More

Tags: Central GovernmentCompanies ActCompanies Act 1956Company Law BoardRegistrar of CompaniesSecurities & Exchange Board of IndiaSerious Fraud Investigation OfficeSFIO

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

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

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

RBI appoints a Committee to Review Governance of Boards of Banks in India

The Reserve Bank of India has constituted an Expert Committee to Review Governance of Boards of Banks in India. The Committee would be chaired by Shri P. J. Nayak, former Chairman and CEO of Axis Bank; the other members being Shri S. Raman, Whole Time Member, Securities & Exchange Board of India, Smt. Shubhalakshmi Panse,… Read More

Tags: Allahabad BankAxis BankCommitteeIndiaIndian School of BusinessMcKinsey & CompanyReserve Bank of IndiaSecurities & Exchange Board of India

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

MCA Finalizes Rules for NCLT (Salary of Chairperson & Other Members) – to be notified in Official Gazette

The Ministry of Corporate Affairs has finalized some of the Rules leading to the formation of NCLT. The first set of rules will be called the National Company Law Tribunal (Salary, Allowances and other Terms and Conditions of Service of Chairperson and other Members) Rules, 2013, will be published in the Official Gazette of India. The… Read More

Tags: AllowancesCompanies ActCorporate Affairs MinistryIndiaLokSabhaNCLTOfficial Gazette of IndiaSecurities & Exchange Board of India

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