| Notifications/Circulars |
Category : SEBI |
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Exclusively listed companies of De-recognized/Non operational/exited Stock Exchanges.
Posted Date : 20-Apr-2015 , 06:14:16 pm | Posted By: Aarti Sharma
SEBI vide circular dated May 30, 2012 (Exit Circular) issued guidelines for exit of De-recognized/Non-operational stock exchanges. Subsequently, vide circular dated May 22, 2014, SEBI issued directions to the stock exchanges to address issues faced by companies exclusively listed in non-operational stock exchanges.
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SEBI issues guidelines for implementing revised norms for single registration of Stock Brokers
Posted Date : 14-Oct-2014 , 08:52:52 am | Posted By: CASANSAAR
Please find enclosed the Notification No. LAD-NRO/GN/2014-15/15/1671 datedOctober 08, 2014 amending the SEBI (Stock Brokers and Sub-Brokers) Regulations,1992 (hereinafter referred to as Broker Regulations). As per the amendment, theexisting requirement of obtaining registration as stock broker/ clearing member foreach stock exchange/ clearing corporation has been done away with and instead asingle registration with any stock exchange/ clearing corporation shall be required. Foroperating in any o...
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SEBI releases master circular for Mutual Funds
Posted Date : 02-Oct-2014 , 07:34:12 am | Posted By: CASANSAAR
SEBI releases master circular for Mutual Funds...
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SEBI tweaks clause 49; simplifies definition of related party, exempts specified Cos from governance norms
Posted Date : 15-Sep-2014 , 08:05:45 pm | Posted By: CASANSAAR
This circular is in continuation to circular No. CIR/CFD/POLICY CELL/2/2014 datedApril 17, 2014 on amendments to Clauses 35B and 49 of the Equity ListingAgreement. In terms of the said circular, the revised Clause 49 would beapplicable to all listed companies with effect from October 01, 2014....
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SEBI postpones applicability of new norms on issuance and processing of Delivery Instruction Slips
Posted Date : 05-Jul-2014 , 03:49:06 pm | Posted By: CASANSAAR
DELIVERY INSTRUCTION SLIP (DIS) ISSUANCE AND PROCESSING
CIRCULAR NO. MRD/DP/22/2014DATED 4-7-2014
1.SEBI hasvideCircular No. CIR/MRD/DP/01/2014, dated January 07, 2014introduced guidelines to strengthen the supervisory and monitoring role of the depositories and their participants with respect to issuance and processing of Delivery Instruction Slips.
2.In light of the difficulties expressed by the depositories and the depository participants (DPs) and considering their request, it has been de...
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SEBI Board approves of norms for executing search & seizure operations on lines of provisions of I-T Act
Posted Date : 26-Dec-2013 , 05:58:12 pm | Posted By: CASANSAAR
SEBI Board Meeting
The SEBI Board met in Mumbai today and took the following decisions:
The Amendment to Securities and Exchange Board of India (Collective Investment Schemes) Regulations, 1999
1.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 more, to be deemed to be a Collective Investment Scheme, subject to sub-section (3) of section 11AA of the SEBI Act...
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QFIs can invest in \'to be listed\' debt securities; delay in listing would trigger its sale - SEBI clarifies
Posted Date : 14-Aug-2013 , 06:17:57 pm | Posted By: Vinay Sharma
INVESTMENT BY QUALIFIED FOREIGN INVESTORS (QFIs) IN "TO BE LISTED" INDIAN CORPORATE DEBT SECURITIES
CIRCULAR NO. IMD/FIIC/13/2013,DATED 13-8-2013
1.
Vide SEBI circularIMD/FII&C/17/2012 dated July 18, 2012, QFIs had been allowed to invest in listed/to be listed Indian corporate debt securities through public issues and units of debt schemes of Indian mutual funds.
2.
Based on the feedback received from market participants, with a view to align the eligibility criteria for...
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SEBI Meet: Illegal mobilization of funds by unregistered entities held as fraudulent and unfair trade practice
Posted Date : 14-Aug-2013 , 11:28:45 am | Posted By: Vinay Sharma
SEBI BOARD MEETING - CLARIFICATORY AMENDMENT TO THE SEBI (PROHIBITION OF FRAUDULENT AND UNFAIR TRADE PRACTICES RELATING TO SECURITIES MARKETS) REGULATIONS, 2003; SECURITIES LAWS (AMENDMENT) ORDINANCE, 2013 AND INDEPENDENT CONSULTANT
PRESS RELEASE NO. 73/2013,DATED 12-8-2013
The SEBI Board met in Mumbai today and took the following decisions:
1. Amendment to the SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Market) Regulations, 2003 - Illegal mobilization of...
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SEBI puts a cap on quantum of buy back from open market; should be less than 15% of capital and free reserve
Posted Date : 10-Aug-2013 , 11:48:54 am | Posted By: Vinay Sharma
SEBI (BUY BACK OF SECURITIES)(AMENDMENT) REGULATIONS, 2013 - AMENDMENT IN REGULATIONS 4, 14, 15, 16 & 19 AND INSERTION OF REGULATIONS 15A & 15B
NOTIFICATION NO. LAD-NRO/GN/2013-14/16/6348,DATED 8-8-2013
In exercise of the powers conferred under section 30 of the Securities and Exchange Board of India Act, 1992 (15 of 1992) read with clause (f) of sub-section (2) of section 77A of the Companies Act, 1956 (1 of 1956), the Board hereby makes the following Regulations to amend the Securiti...
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AIFs can deviate from registered category if no investment was made yet in this category, SEBI clarifies
Posted Date : 09-Aug-2013 , 03:56:31 pm | Posted By: Vinay Sharma
SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 - APPLICATION FOR CHANGE IN CATEGORY OF ALTERNATIVE INVESTMENT FUND
CIRCULAR NO. IMD/DF/12/2013,DATED 7-8-2013
1.SEBI (Alternative Investment Funds) Regulations, 2012 ("AIF Regulations") were notified on May 21, 2012.
Regulation 7(2) of AIF Regulations specifies as under:
"An Alternative Investment Fund which has been granted registration under a particular category cannot change its category subsequent to registration, except with the...
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SEBI specifies category of associated persons who should obtain certification from NISM
Posted Date : 07-Aug-2013 , 10:43:28 pm | Posted By: Vinay Sharma
SEBI (CERTIFICATION OF ASSOCIATED PERSONS IN THE SECURITIES MARKETS) REGULATIONS, 2007 - SPECIFIED ASSOCIATED PERSONS OF MERCHANT BANKERS TO OBTAIN REQUISITE CERTIFICATION(S) UNDER SAID REGULATIONS
NOTIFICATION NO. LAD-NRO/GN/2013-14/15/6319,DATED 2-8-2013
In terms of sub-regulation (1) of regulation 3 of the Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007 (the Regulations), the Board may require, by notification, any cat...
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Duration for utilization of Governmental debts limits reduced from 45 days to 30 days
Posted Date : 02-Aug-2013 , 01:00:06 pm | Posted By: Vinay Sharma
UTILISATION PERIOD FOR GOVERNMENT DEBT LIMITS
CIRCULAR NO. IMD/FIIC/11/2013,DATED 31-7-2013
1.SEBI vide circularIMD/FIIC/22/2012 dated November 07, 2012had reduced the utilisation period for Government debt limits allocated through auction process to 30 days from 45 days.
2.Currently, the unutilsed debt limits as on the 18th of every month are auctioned on the 20th of the month (the next working day in case 20th is a holiday). Thus, an FII/QFI purchasing debt limits in the auction on the 20th...
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SEBI curtails position limits on client and trading members for currency derivatives
Posted Date : 10-Jul-2013 , 08:30:41 pm | Posted By: Vinay Sharma
REVISED POSITION LIMITS FOR EXCHANGE TRADED CURRENCY DERIVATIVES
CIRCULAR NO. MRD/DP/22/2013,DATED 8-7-2013
1.This is in partial modification of SEBI Circular No.SEBI/DNPD/Cir-38/2008 dated August 6, 2008,SEBI/DNPD/Cir-45/2009 dated March 24, 2009,DNPD/5/2010 dated July 30, 2010andDNPD/2/2012 dated May 23, 2012which,inter alia, specified the position limits applicable for Client and Trading Member for Exchange Traded Currency Derivatives.
2.In consultation with RBI and in view of the recent t...
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FII investment in specified security receipts to be reckoned against the existing corporate debt limits
Posted Date : 10-Jul-2013 , 08:30:05 pm | Posted By: Vinay Sharma
FII/QFI INVESTMENTS IN SECURITY RECEIPTS
CIRCULAR NO. IMD/FIIC/9/2013,DATED 9-7-2013
1.The consolidated FDI policy circular issued by the Department of Industrial Policy and Promotion, Ministry of Commerce and Industry, effective from April 05, 2013, states that FII investments in Security Receipts issued by Asset Reconstruction Companies should be within the FII limit on corporate bonds prescribed from time to time.
2.Accordingly, the investments in Security Receipts issued by Asset Reconstr...
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SEs with nation-wide terminals to set-up additional investor service centers for investors\' convenience
Posted Date : 07-Jul-2013 , 02:02:27 pm | Posted By: Vinay Sharma
ARBITRATION MECHANISM IN STOCK EXCHANGES - INVESTOR SERVICE CENTRES
CIRCULAR NO. MRD/ICC/21/2013,DATED 5-7-2013
1.Reference may be made to circulars no. MRD/DSA/24/2010 dated August 31, 2010,MRD/SA/03/2012 dated January 20, 2012andMIRSD/2/2012 dated February 15, 2012regarding investor service centres providinginter aliaarbitration facility (arbitration as well as appellate arbitration). Presently, these facilities are being provided at 8 centres viz. Delhi, Mumbai, Kolkata, Chennai, Ahmedabad,...
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SEBI Buy back regulations - Min cap for buy back raised to 50%; max buy-back period reduced to 6 months
Posted Date : 26-Jun-2013 , 09:21:15 pm | Posted By: Vinay Sharma
SEBI BOARD MEETING - AMENDMENTS TO SEBI (BUY-BACK OF SECURITIES) REGULATIONS, 1998 GOVERNING BUY-BACK THROUGH OPEN MARKET PURCHASE; ENABLING LISTING OF START-UPs AND SMEs ON INSTITUTIONAL TRADING PLATFORM (ITP) WITHOUT HAVING TO MAKE AN IPO; COMMITTEE ON RATIONALIZATION OF INVESTMENT ROUTES AND MONITORING OF FOREIGN PORTFOLIO INVESTMENTS, ETC. ETC.
PRESS RELEASE NO. 60/2013,DATED 25-6-2013
The SEBI Board met in Mumbai today and took the following main decisions:
Amendments to SEBI (Buy-Back...
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Subscription period of mutual fund schemes eligible under Rajiv Gandhi Equity Savings Schemes not to exceed 30 days
Posted Date : 21-Jun-2013 , 10:19:16 pm | Posted By: Vinay Sharma
SEBI (MUTUAL FUNDS) (SECOND AMENDMENT) REGULATIONS, 2013 - AMENDMENT IN REGULATIONS 34, 35 AND 36
NOTIFICATION NO. LAD-NRO/GN/12/6108,DATED 19-6-2013
In exercise of the powers conferred under section 30 of the Securities and Exchange Board of India Act, 1992 (15 of 1992), the Board hereby makes the following regulations to amend the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996, namely:-
1.These regulations may be called the Securities and Exchange Board of India (Mu...
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Establishment of Connectivity with both depositories NSDL and CDSL-Companies eligible for shifting from Trade for Trade Settlement (TFTS) to Normal Rolling Settlement
Posted Date : 14-Jun-2013 , 10:11:53 pm | Posted By: Vinay Sharma
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SEBI enhances the limit of Foreign Investment in government debts for specified FIIs
Posted Date : 13-Jun-2013 , 07:57:35 pm | Posted By: Vinay Sharma
ENHANCEMENT IN FOREIGN INVESTMENT LIMITS IN GOVERNMENT DEBT
CIRCULAR NO. IMD/FIIC/8/2013,DATED 12-6-2013
1.The Government of India has enhanced the Government Debt Limits by USD 5 billion (equivalent to approximately INR 29,137 cr converted at the RBI reference rate of 1 USD = INR 58.274 as on June 12, 2013).
2.It has been decided that the aforesaid enhanced limit of USD 5 billion shall be available for investments only to those FIIs which are registered with SEBI under the categories of Sove...
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Clarification on SEBI\'s Circular dated August 13, 2012 providing for the \"Manner of Dealing with Audit Reports filed by Listed Companies\"
Posted Date : 05-Jun-2013 , 06:54:15 pm | Posted By: Vinay Sharma
CIRCULARCIR/CFD/DIL/9/2013 June 5, 2013
To,All the Stock ExchangesDear Madam / Sir,Sub.: Clarification on SEBI's Circular dated August 13, 2012 providing for the "Manner of Dealing with Audit Reports filed by Listed Companies"
1. SEBI has, vide circular dated August 13, 2012 providing for the "Manner of Dealing with Audit Reports filed by Listed companies", mandated listed companies to submit either Form A (Unqualified/ Matter of Emph...
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SEBI amends circular on \'comprehensive guidelines on sale of shares through offer for sale mechanism\'
Posted Date : 31-May-2013 , 06:28:44 pm | Posted By: Vinay Sharma
COMPREHENSIVE GUIDELINES ON OFFER FOR SALE (OFS) OF SHARES BY PROMOTERS THROUGH THE STOCK EXCHANGE MECHANISM
CIRCULAR NO. MRD/DP/17/2013,DATED 30-5-2013
1.This is with reference to the comprehensive guidelines on sale of shares through OFS mechanism issuedvidecircular no MRD/DP/18/2012, dated July 18, 2012and amendedvidecircular MRD/DP/04/2012, dated January 25, 2013.
2.The aforesaid circular is amended as under:
2.1Para 5 (b) shall be replaced by the following:
"Seller(s) shall announce t...
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SEBI modifies Securities Lending and Borrowing framework
Posted Date : 31-May-2013 , 04:31:51 pm | Posted By: Vinay Sharma
REVIEW OF THE SECURITIES LENDING AND BORROWING (SLB) FRAMEWORK
CIRCULAR NO. MRD/DP/18/2013,DATED 30-5-2013
The framework of SLB was specifiedvideSEBIcircular no. MRD/DoP/SE/Dep/Cir-14/2007, dated December 20, 2007and operationalised with effect from April 21, 2008. The SLB framework was subsequently revised based on the need and representations from market participantsvidecirculars no. MRD/DoP/SE/Cir-31/2008, dated October 31, 2008,MRD/DoP/SE/Dep/Cir-01/2010,
dated January 06, 2010,MRD/DP/33...
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SEBI issues Master Circular for Depositories
Posted Date : 17-Apr-2013 , 09:54:01 pm | Posted By: CASANSAAR
Securities and Exchange Board of India (SEBI) has been issuing various circulars/directions from time to time. In order to enable the users to have an access to all the applicable circulars/directions at one place, Master Circular for Depositories has been prepared.
This Master Circular is a compilation of the circulars/communications issued by SEBI up to March 31, 2013 and shall come into force from the date of its issue.
This Master Circular shall supersede previous Master Circular MRD/DP/10...
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Change in shareholding by 2% or more to be disclosed now even if resultant shareholding falls below 5%
Posted Date : 28-Mar-2013 , 07:23:58 pm | Posted By: Vinay Sharma
SEBI (SUBSTANTIAL ACQUISITION OF SHARES AND TAKEOVERS) - (AMENDMENT) REGULATIONS, 2013 - AMENDMENT IN REGULATIONS 10, 13, 22, 23 AND 29
NOTIFICATION NO. LAD-NRO/GN/2012-13/36/7368,DATED 26-3-2013
In exercise of the powers conferred under section 30 of the Securities and Exchange Board of India Act, 1992 (15 of 1992), the Board hereby makes the following Regulations to amend the Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) Regulations, 2011, namely:...
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USAGE OF ELECTRONIC PAYMENT MODES FOR MAKING CASH PAYMENTS TO THE INVESTORS
Posted Date : 23-Mar-2013 , 11:54:56 am | Posted By: Vinay Sharma
CIRCULAR NO. MRD/DP/10/2013,DATED 21-3-2013
Please refer to SEBI circular no. DCC/FITTCIR-3//2001, dated October 15, 2001 and circular no D&CC/FITTC/CIR-04/2001, dated November 13, 2001 on usage of ECS (Electronic Clearing Services) facility and warrants for distribution of dividends or other cash benefits to the investors.
2.Advancements in the field of electronic payment systems in the last decade have made available various other modes of electronic funds transferviz.National Electron...
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PRODUCT LABELING IN MUTUAL FUNDS
Posted Date : 19-Mar-2013 , 06:09:13 pm | Posted By: Vinay Sharma
CIRCULAR NO. IMD/DF/5/2013,DATED 18-3-2013
1.In order to address the issue of mis-selling, a Committee was set up to examine the system of Product Labeling that would provide investors an easy understanding of the kind of product/scheme they are investing in and its suitability to them. Based on the recommendations of the Committee, it has been decided that all the mutual funds shall 'Label' their schemes on the parameters as mentioned under:
a.
Nature of scheme such as to create ...
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Anti-Money Laundering (AML)/Combating of Financing of Terrorism (CFT) - Standards
Posted Date : 18-Mar-2013 , 05:47:59 pm | Posted By: Vinay Sharma
RBI/2012-13/443RPCD.RRB.RCB.AML.No. 9753/07.51.018/2012-13
March 15, 2013
The Chairmen / CEOs of all Regional Rural Banks /State and Central Co-operative Banks
Dear Sir,
Anti-Money Laundering (AML)/Combating of Financing of Terrorism (CFT) - Standards
Please refer to our letterRPCD.CO.RRB.RCB.AML.No. 6163/07.51.018/2012-13 dated December 17, 2012on risks arising from the deficiencies in AML/CFT regime of certain jurisdictions.
2. Financial Action Task Force (FATF) has updated its Statement...
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Sharing of information regarding issuer companies between Debenture Trustees and Credit Rating Agencies
Posted Date : 15-Mar-2013 , 09:56:13 pm | Posted By: Vinay Sharma
SHARING OF INFORMATION REGARDING ISSUER COMPANIES BETWEEN DEBENTURE TRUSTEES AND CREDIT RATING AGENCIES
CIRCULAR NO. MIRSD/3/2013,DATED 15-3-2013
1.SEBI (Debenture Trustee) Regulations, 1993 require the Debenture Trustees (DTs) to share information regarding the issuer companies that are their clients, with Credit Rating Agencies (CRAs). The purpose of the Regulations is to enable CRAs to perform their obligations effectively.
2.DTs have also expressed the need to receive relevant informati...
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Establishment of Connectivity with both depositories NSDL and CDSL
Posted Date : 07-Mar-2013 , 03:39:48 pm | Posted By: Vinay Sharma
CIRCULAR
CIR/MRD/DP/ 07 /2013 March 05, 2013
To,
All Stock Exchanges
Dear Sir / Madam,
Sub: Establishment of Connectivity with both depositories NSDL and CDSL –Companies eligible for shifting from Trade for Trade Settlement (TFTS) to Normal Rolling Settlement
1. It is observed from the information provided by the depositories that the companies listed in Annexure ‘A’ have established connectivity with both the depositories.
2. The stock exchanges may con...
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GUIDELINES FOR ENABLING PARTIAL TWO-WAY FUNGIBILITY OF INDIAN DEPOSITORY RECEIPTS (IDRs)
Posted Date : 04-Mar-2013 , 12:02:32 pm | Posted By: Vinay Sharma
GUIDELINES FOR ENABLING PARTIAL TWO-WAY FUNGIBILITY OF INDIAN DEPOSITORY RECEIPTS (IDRs)
CIRCULAR NO.CFD/DIL/6/2013,DATED 1-3-2013
1.Securities and Exchange Board of India ("SEBI"),videcircular No. CFD/DIL/10/2012, dated August 28, 2012, has prescribed the framework for redemption of IDRs into underlying equity shares. The circular has,inter alia,provided for partial fungibility of IDRs (i.e.redemption/conversion of IDRs into underlying equity shares) in a financial year to the extent of 2...
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