Category: SEBI

SEBI modifies Investor Charter for Stock Brokers.

SEBI modifies Investor Charter for Stock Brokers. In a move to enhance financial consumer protection alongside enhanced financial inclusion and financial literacy and in view of the recent developments in the securities market including introduction of Online Dispute Resolution (ODR) platform and SCORES 2.0, SEBI has modified Investor …

SEBI fixes responsibility for use of artificial intelligence

SEBI fixes responsibility for use of artificial intelligence and machine learning tools and techniques SEBI has notified he Securities and Exchange Board of India (Intermediaries) (Amendment) Regulations, 2025 to regulate use of artificial intelligence The Securities and Exchange Board of India (Intermediaries) Regulations, 2008 has been amended by …

SEBI issues guidelines for safer participation of retail investors in Algorithmic trading

SEBI issues guidelines for safer participation of retail investors in Algorithmic trading. Safer participation of retail investors in Algorithmic trading. Any order that is generated using automated execution logic is known as Algorithmic Trading. Generally, the features of algorithmic trading (‘algo  trading’) include  using  a  defined  set  of …

SEBI prescribes system audit of Stock Brokers, criteria for empanelment of auditors

SEBI mandates System Audit of Stock Brokers. Prescribes eligibility criteria for empanelment of auditors SEBI vide Master Circular No. SEBI/HO/MRD2/PoD-2/CIR/P/2023/171 dated October 16, 2023 specified the comprehensive framework for System Audit for Stock Brokers (SBs)/Trading Members (TMs). SEBI has issued Circular No. SEBI/HO/MIRSD/TPD/CIR/2025/10 dated 31.01.2025 to introduce technology …

Transfer/Transmission of shareholdings among relatives & their effect on change in control

SEBI clarification on transfer of shareholding among immediate relatives and transmission of shareholding in respect of  investment  advisers. research  analysts  and  KYC registration agencies (KRAs) Securities and Exchange Board of India CIRCULAR SEBI/HO/MIRSD/ MIRSD-PoD-1/P/CIR/2024/164                           December 27, 2024 To, All Registered Investment Advisers All Registered Research Analysts  All KYC …

SEBI directs Mutual Funds to disclose expenses, half yearly returns, risk-o-meter of schemes

SEBI directs Mutual Funds to disclose expenses, half yearly returns,  yield and risk-o-meter of schemes Under  the  current  regulatory  framework  for  Mutual  Funds,  various  disclosure requirements  have  been  mandated,  which  include  disclosures  by  Mutual  Funds with  respect  to  expenses  and  risks  pertaining  to  schemes.  Based  on  the recommendation …