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Notifications/Circulars Category : SEBI
Standardization of the Private Placement Memorandum (PPM) Audit Report
Posted Date : 20-Apr-2024 , 06:30:55 am | Posted By: CASANSAAR

In terms of Regulation 28 of SEBI (AIF) Regulations, 2012 and Clause2.4 of SEBI Master Circular SEBI/HO/AFD/PoD1/P/CIR/2023/130 dated July 31, 2023(Master Circular)it is mandatory for AIFs to carry out an annual audit of compliancewith the terms of Private Placement Memorandum (PPM).In terms of Clause2.4.2 of Master Circular, AIFs are required to submit Annual PPM Audit Reports to the Trustee or Board of Directors or Designated Partners of the AIF, Board of directors or Designated Partners of th...

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Category : SEBI | Comments : 0 | Hits : 1145

Simplification of KYC Processand rationalisation of Risk Management Framework - SEBI
Posted Date : 12-Aug-2023 , 08:01:19 am | Posted By: CASANSAAR

Simplification of KYC Processand rationalisation of Risk Management Framework at KYC (Know Your Client) Registration Agencies(KRAs)...

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Category : SEBI | Comments : 0 | Hits : 1112

SEBI Clarifies on Computation of Minimum Net Worth
Posted Date : 16-Mar-2023 , 07:42:36 am | Posted By: CASANSAAR

Sub: Request for Informal guidance by way of an interpretive letter under the provisions of SEBI (Informal Guidance) Scheme, 2003 (“Scheme”) received from Muthoot Health Care Private Limited (“the Company”) 1. This is with reference to your Informal Guidance application dated January 02, 2023, and further email dated February 07, 2023 and February 14, 2023 seeking guidance on eligibility of issuers in respect of issuance and listing of structured debt securities/ marke...

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Category : SEBI | Comments : 0 | Hits : 934

Format of compliance report on Corporate Governance by Listed Entities
Posted Date : 01-Jun-2021 , 10:01:01 am | Posted By: CASANSAAR

As per the provisions of Regulation 27(2) of Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 (“Listing Regulations”), a listed entity is required tosubmit a quarterly compliance report on corporate governance in the format specified by the Board from time to time to recognised Stock Exchange(s)...

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Category : SEBI | Comments : 0 | Hits : 400

Individual Housing Loans – Rationalisation of Risk Weights
Posted Date : 17-Oct-2020 , 09:33:33 am | Posted By: CASANSAAR

RBI/2020-21/56 DOR.No.BP.BC.24/08.12.015/2020-21 October 16, 2020 All Scheduled Commercial Banks (Including Small Finance Banks, Excluding Local Area Banks and Regional Rural Banks) Dear Sir/Madam, Individual Housing Loans – Rationalisation of Risk Weights Please refer to paragraph 6 of the Statement on Developmental and Regulatory Policies dated October 9, 2020 on rationalization of risk weights on Individual Housing Loans. 2. In terms of...

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Category : SEBI | Comments : 0 | Hits : 886

Relaxation of time gap between two board/ Audit Committee meetings of listed entities - SEBI
Posted Date : 27-Jun-2020 , 09:49:14 am | Posted By: CASANSAAR

SEBI,vide circular No. SEBI/HO/CFD/CMD1/CIR/P/2020/38 dated March 19, 2020,had relaxed the requirement of the maximum stipulated time gap of 120 days between two meetings of the board and Audit Committeesof listed entities, as is required under Regulation 17(2) and 18(2)(a) of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 (‘LODR Regulations’). This relaxation was provided for the meetings held/proposed to be held between the period December 1, 2019 and June...

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Category : SEBI | Comments : 0 | Hits : 703

Relaxation from compliance with certain provisions of the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015
Posted Date : 19-Mar-2020 , 01:34:22 pm | Posted By: CASANSAAR

Relaxation from compliance with certain provisions of the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 due to the CoVID -19 virus pandemic CLICK HERE FOR SEBI CIRCULAR ...

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Category : SEBI | Comments : 0 | Hits : 419

SEBI Guideline on appointment of Auditors of Mutual Funds
Posted Date : 02-Dec-2017 , 09:00:46 am | Posted By: CASANSAAR

Securities and Exchange Board of India CIRCULAR SEBI/HO/IMD/DF2/CIR/P/2017/125 November 30, 2017 All Mutual Funds/ Asset Management Companies (AMCs)/ Trustee Companies/ Boards of Trustees of Mutual Funds Sir/Madam, Sub: Enhancing fund governance for Mutual Funds In order to strengthen the governance structure for Mutual Funds (MFs), it has been decided to implement the following: A. Tenure of independent trustees and independent directors: 1. Regulation 16 (5) an...

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Category : SEBI | Comments : 0 | Hits : 1498

Online Registration Mechanism and Filing System for Clearing Corporations
Posted Date : 06-Nov-2017 , 10:48:48 am | Posted By: Md Irsad Alam

1. In order to ease the process of application for recognition / renewal, reporting and other filings in terms Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2012 and other circulars issued from time to time, SEBI has introduced a digital platform for online filings related to Clearing Corporations. 2. All applicants desirous of seeking registration / renewal as a Clearing Corporation in terms of Regulation 4 and 12 of the Securities Contracts (Regula...

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Category : SEBI | Comments : 0 | Hits : 589

Online Filing System for Foreign Venture Capital Investors.
Posted Date : 07-Jul-2017 , 05:19:07 pm | Posted By: Md Irsad Alam

1. In order to facilitate ease of operations in terms of applying for registration, reporting and various compliances under SEBI (Foreign Venture Capital Investors) Regulations, 2000 (hereinafter referred to as ‘FVCI Regulations’), SEBI has introduced an online system for filings related to Foreign Venture Capital Investors (FVCI). The online system can be used for application for registration, reporting and filing under the provisions of FVCI Regulations. 2. All applicants desirous...

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Category : SEBI | Comments : 0 | Hits : 565

Review of Offer for Sale (OFS) of Shares through Stock Exchange Mechanism
Posted Date : 28-Jun-2017 , 02:06:07 pm | Posted By: Md Irsad Alam

1. Comprehensive guidelines on Offer for Sale of Shares through stock exchange mechanism were issued vide circular no CIR/MRD/DP/18/2012 dated July 18, 2012. These guidelines have been modified from time to time based on the representation/suggestion received from various stakeholders. 2. Based on the representation received and in order to further streamline the process of OFS with an objective to encourage greater participation by employees, the existing provision with respect to restriction ...

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Category : SEBI | Comments : 0 | Hits : 605

Interest and Dividend information reporting in case of Custodial AccountsRule 114G(1)(e) of the Income Tax Rules, 1962
Posted Date : 16-Jun-2017 , 11:14:37 am | Posted By: Md Irsad Alam

1. This has reference to SEBI Circular No. CIR/MIRSD/2/2015 dated August 26, 2015 on implementation of the Multilateral Competent Authority Agreement and Foreign Account Tax Compliance Act. 2. In terms of Rule 114G(1)(e)(i) of Income Tax Rules, 1962 issued under Section 285BA of Income Tax Act, 1961 following information is required to be reported by reporting financial institution in the case of reportable custodial account:- (i) the total gross amount of interest, the total gross amount of di...

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Category : SEBI | Comments : 0 | Hits : 590

Sub: Non-compliance with certain provisions of SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009 (“ICDR Regulations”)
Posted Date : 16-Jun-2017 , 11:11:59 am | Posted By: Md Irsad Alam

1. Regulations 111A and 111B of ICDR Regulations inter alia specify liability of a listed entity or any other person for contravention and actions which can be taken by the respective stock exchange and the revocation of such actions, in the manner specified by SEBI. 2. Stock exchanges shall impose fines on the companies for non-compliance with certain provisions of ICDR Regulations as under: Regulation Violation Fine 95(1) Delay in completion of bonus issue. ₹ 20,000 per day of non-compl...

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Category : SEBI | Comments : 0 | Hits : 499

Listing of Non-Convertible Redeemable Preference Shares (NCRPS) / NonConvertible Debentures (NCDs) through a Scheme of Arrangement
Posted Date : 26-May-2017 , 05:05:38 pm | Posted By: Md Irsad Alam

(1) SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 (hereinafter referred to as “listing regulations”) place obligations with respect to Scheme of Arrangement on Listed Entities and Stock Exchange(s) in Regulation 11, 37 and 94. (2) Sub-rule (7) of rule 19 of the Securities Contracts (Regulation) Rules, 1957 (hereinafter referred to as “the SCRR”) gives power to Securities and Exchange Board of India (SEBI) to relax provision of Rule 19 at its di...

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Category : SEBI | Comments : 0 | Hits : 378

Digital mode of payment
Posted Date : 19-May-2017 , 03:03:18 pm | Posted By: Md Irsad Alam

1. SEBI has notified the SEBI (Payment of Fees and Mode of Payment) (Amendment) Regulations, 2017 on March 06, 2017 to enable digital mode of payment (RTGS/NEFT/IMPS etc.) of fees/penalties/remittance/other payments etc. 2. Pursuant to above, SEBI has been receiving direct credit of amounts from various intermediaries / other entities. 3. In order to identify and account such direct credit in the SEBI account, it has been decided that the various intermediaries / other entities shall provide t...

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Category : SEBI | Comments : 0 | Hits : 374

Position limits for cross-currency futures and options contracts (not involving Indian Rupee) on exchanges in International Financial Services Centres (IFSC)
Posted Date : 19-May-2017 , 03:00:40 pm | Posted By: Md Irsad Alam

Securities and Exchange Board of India (International Financial Services Centres) Guidelines, 2015 were notified on March 27, 2015, which came into force on April 01, 2015 wherein currency derivatives were specified as permissible securities in which dealing may be permitted by stock exchanges in IFSC. 2. It has been decided that for cross-currency futures and options contracts (not involving Indian Rupee), the position limits for eligible market participants, per currency pair per stock exchan...

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Category : SEBI | Comments : 0 | Hits : 348

Circular on Mutual Funds
Posted Date : 03-May-2017 , 10:44:24 am | Posted By: Md Irsad Alam

Please refer to SEBI circular no. SEBI/HO/IMD/DF2/CIR/P/2016/42 dated 18 March 2016. 2. In partial modification of the above mentioned circular, para C of the circular pertaining to disclosure of executive remuneration shall read as under: “With the underlying objective to promote transparency in remuneration policies so that executive remuneration is aligned with the interest of investors, MFs/AMCs shall make the following disclosures pertaining to a financial year on the MF/AMC website...

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Category : SEBI | Comments : 0 | Hits : 411

Online Registration Mechanism for Securities Market Intermediaries
Posted Date : 03-May-2017 , 10:39:43 am | Posted By: Md Irsad Alam

Hon'ble Minister of Finance, Government of India, in his speech while presenting the Budget for FY 2017-18 on February 01, 2017, announced that the process of registration of financial market intermediaries will be made fully online by SEBI. 2. As you are aware, SEBI had already started development of Enterprise SEBI Portal with various custom applications, including online registration modules for various intermediaries and in this regard, had various rounds of consultation with the market par...

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Category : SEBI | Comments : 0 | Hits : 447

Acceptance of Central Government Securities by Clearing Corporations towards Core Settlement Guarantee Fund (SGF) Contribution by Clearing Members
Posted Date : 27-Apr-2017 , 10:37:42 am | Posted By: Md Irsad Alam

1) SEBI vide circular no. CIR/MRD/DRMNP/25/2014 dated August 27, 2014, specified the guidelines for Core Settlement Guarantee Fund, Default Waterfall and Stress Test for Clearing Corporations. 2) Based on the feedback received from the market participants and the recommendation of the Risk Management Review Committee of SEBI, it has been decided that the clearing members shall be permitted to bring their contribution towards Core Settlement Guarantee Fund, in the form of Central Government Secu...

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Category : SEBI | Comments : 0 | Hits : 464

Inclusion of “Derivatives on Equity shares”
Posted Date : 13-Apr-2017 , 09:19:47 pm | Posted By: Md Irsad Alam

Securities and Exchange Board of India (International Financial Services Centres) Guidelines, 2015 were notified by SEBI on March 27, 2015, which came into force on April 01, 2015. 2. Clause 7 of SEBI (IFSC) Guidelines, 2015 specifies the types of securities in which dealing may be permitted by stock exchanges operating in IFSC. Based on the recommendations of the Risk Management Review Committee of SEBI, it has been decided to specify “Derivatives on equity shares of a company incorporat...

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Category : SEBI | Comments : 0 | Hits : 385

Capacity Planning Framework for the Depositories
Posted Date : 06-Apr-2017 , 09:14:49 pm | Posted By: Md Irsad Alam

1. The capacity planning framework of the Stock Exchanges and Clearing Corporations was reviewed by Technical Advisory Committee (TAC) of SEBI. Based on recommendations of the committee, circular no. CIR/MRD/DP/17/2015 dated October 08, 2015 was issued to the Stock Exchanges and Clearing Corporations with regard to their capacity planning. 2. Depositories have been identified as financial Market Infrastructure Institutions which facilitate and perform systemically critical functions in the secu...

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Category : SEBI | Comments : 0 | Hits : 457

Investments by FPIs in Government Securities
Posted Date : 06-Apr-2017 , 08:48:59 pm | Posted By: Md Irsad Alam

1. RBI in its Fourth Bi-monthly Policy Statement for the year 2015-16, dated September 29, 2015 had announced a Medium Term Framework (MTF) for FPI limits in Government securities in consultation with the Government of India. Accordingly, SEBI had issued circulars CIR/IMD/FPIC/8/2015 dated October 06, 2015, IMD/FPIC/CIR/P/2016/45 dated March 29, 2016 and IMD/FPIC/CIR/P/2016/107 dated October 03, 2016 regarding the allocation and monitoring of FPI debt investment limits in Government securities. ...

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Category : SEBI | Comments : 0 | Hits : 504

Enhanced Standards for Credit Rating Agencies (CRAs) - Clarifications
Posted Date : 31-Mar-2017 , 04:04:53 pm | Posted By: Md Irsad Alam

Please refer to SEBI Circular No. SEBI/HO/MIRSD/MIRSD4/CIR/P/2016/119 dated November 01, 2016 on Enhanced Standards for Credit Rating Agencies (CRAs). Based on the representations received from the industry and in consultation with CRAs, following has been decided: I. Point 2D (I) of Annexure A of aforementioned Circular on „Standardization of Press Release for Rating Actions‟ Considering the nature of instruments, following details may not be provided under the head “Details...

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Category : SEBI | Comments : 0 | Hits : 425

Submission of accounts for debt securities issued under the SEBI (Issue and Listing of Debt Securities by Municipalities) Regulations, 2015
Posted Date : 22-Mar-2017 , 11:25:59 pm | Posted By: Md Irsad Alam

1. Regulation 15 (1) (b) of the SEBI (Issue and Listing of Debt Securities by Municipalities) Regulations, 2015 (SEBI ILDM regulations) requires that an issuer making issue of debt securities under these regulations, on a private placement basis, shall submit its accounts prepared in accordance with National Municipal Accounts Manual or in accordance with similar Municipal Accounts Manual adopted by the respective State Government for at least three immediately preceding financial years. 2. SEB...

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Category : SEBI | Comments : 0 | Hits : 385

: Disclosures relating to regulatory orders and arbitration matters on websites of Clearing Corporations
Posted Date : 19-Mar-2017 , 12:13:37 am | Posted By: Md Irsad Alam

1. In order to improve transparency in disclosing the regulatory orders and arbitration awards issued by clearing corporations, it has been decided that all regulatory orders i.e. orders against clearing members and arbitration / appellate awards by arbitrators need to be made available to investors. 2. Accordingly, it has been decided that the Clearing Corporations shall post all regulatory orders and arbitration / appellate awards issued since June 20, 2012, on their websites within 30 days. ...

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Category : SEBI | Comments : 0 | Hits : 381

Mobile Banking Transactions in India - Operative Guidelines for Banks
Posted Date : 18-Dec-2015 , 07:49:32 am | Posted By: CASANSAAR

RBI/2015-16/269 DPSS.CO.PD.No./1265/02.23.001/2015-2016 December 17, 2015 The Chairman and Managing Director / Chief Executive Officers All Scheduled Commercial Banks including RRBs / Urban Co-operative Banks / State Co-operative Banks / District Central Co-operative Banks / White Label ATM Operators Madam /Dear Sir Mobile Banking Transactions in India - Operative Guidelines for Banks – Customer Registration for Mobile Banking A reference is invited topara 7of the Maste...

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Category : SEBI | Comments : 0 | Hits : 4236

Disclosures under SEBI (Prohibition of Insider Trading) Regulations, 2015
Posted Date : 11-May-2015 , 10:33:42 pm | Posted By: CASANSAAR

1. With reference to the requirements of regulation 6 of SEBI (Prohibition of Insider trading) Regulations 2015 (“the Regulations”),:- i. Formats for disclosures are as Annexed. ii. Such disclosures may be maintained by the company in physical/electronic mode....

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Category : SEBI | Comments : 0 | Hits : 595

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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Category : SEBI | Comments : 0 | Hits : 564

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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Category : SEBI | Comments : 0 | Hits : 512

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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Category : SEBI | Comments : 0 | Hits : 727

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