Category: SEBI

Writing of Covered Call Options by Mutual Fund Schemes-SEBI Circular

Writing of Covered Call Options by Mutual Fund Schemes-Norms for investment and disclosure by mutual funds in derivatives. SEBI Circular CIRCULAR SEBI/HO/IMD/DF2/CIR/P/2019/17 January 16, 2019 To, All Mutual Funds (MFs)/ Asset Management Companies (AMCs)/ Trustee Companies/ Boards of Trustees of Mutual Funds Sir/Madam, Subject: Norms for investment and …

Prosecution cases launched for violation of SEBI Act and Regulations

Prosecution cases launched for violation of SEBI Act and Regulations.   SEBI has made available a list of where prosecution has been launched for violation of SEBI Regulations including Collective Investment Regulations 1999 Prosecution cases launched for violation of SEBI cases other than Collective Investment Scheme (588 cases starting …

Migration of Sub-Broker to Authorized Person after discontinue of Sub-Broker as intermediary to be registered with SEBI

Migration of Sub-Broker to Authorized Person after discontinue of Sub-Broker as an intermediary to be registered with SEBI CIRCULAR SEBI/HO/MIRSD/DoP/CIR/P/2018/117 August 03, 2018 To, 1. All Recognized Stock Exchanges 2. Stock Brokers through Recognized Stock Exchanges 3. Sub-Brokers through Recognized Stock Exchanges Dear Sir/Madam, Sub: Role of Sub-Broker …