Category: SEBI

Handling of SCORES complaints by stock exchanges and SoP for non-redressal

Handling of SCORES complaints by stock exchanges and Standard Operating Procedure for non-redressal of grievances by listed companies CIRCULAR SEBI/HO/OIAE/IGRD/CIR/P/2020/152 13 August, 2020 To,All companies whose securities are listed on SEBI recognized Stock Exchanges (through Stock Exchanges)All Recognized Stock ExchangesAll DepositoriesAll Investor Associations Dear Sir/ Madam, Sub: Investor …

Trustees of Mutual Funds to appoint dedicated officer for administrative assistance

Trustees of Mutual Funds to appoint dedicated officer to give administrative assistance in monitoring various activities of the AMCs Securities and Exchange Board of India CIRCULAR SEBI/HO/IMD/DF4/CIR/P/2020/0000000151 August 10, 2020 All Mutual Funds (MFs)/Asset Management Companies (AMCs)/Trustee Companies/ Board of Trustees of Mutual Funds/Association of Mutual Funds in …

Stock exchange subsidiary to administer & supervise Investment Advisers registered with SEBI

Stock exchange subsidiary to administer & supervise Investment Advisers registered with SEBI SECURITIES AND EXCHANGE BOARD OF INDIA CIRCULAR SEBI/HO/IMD/DF1/CIR/P/2020/148 August 06, 2020 All Recognised Stock Exchanges Sir / Madam Subject: Administration and Supervision of Investment Advisers 1. SEBI, vide Circular SEBI/HO/MRD/DSA/CIR/P/2016/113 dated October 19, 2016, allowed registered …

Grievance Resolution between listed entities and proxy advisers

Grievance Resolution between listed entities and proxy advisers. Listed entities may approach SEBI to examine non-compliance with Code of Conduct Securities and Exchange Board of India CIRCULAR SEBI/HO/CFD/CMD1/CIR/P/2020/119 August 04, 2020 All listed entities that have listed their specified securitiesAll Recognized Stock Exchanges Madam / Sir, Subject: Grievance …

SEBI modifies penalty provisions for non/short collection of upfront margins in cash segment

SEBI modifies penalty provisions for non/short collection of upfront margins in cash segment Securities and Exchange Board of India CIRCULAR SEBI/HO/MIRSD/DOP/CIR/P/2020/146 July 31, 2020 To,All Recognised Stock ExchangesAll Recognised Clearing Corporations Dear Sir/Madam, Subject: Collection and Reporting of Margins by Trading Member (TM) /Clearing Member (CM) in Cash …