Category: SEBI
Mechanism for Mapping of Unique Client Code (UCC) with demat account of the clients Securities and Exchange Board of India CIRCULAR SEBI/HO/MIRSD/DOP/CIR/P/2019/136 November 15, 2019 To,All Recognised Stock ExchangesAll Depositories Dear Sir / Madam, Subject: Mapping of Unique Client Code (UCC) with demat account of the clients 1. …
SEBI Enhanced Governance Norms for Credit Rating Agencies (CRAs) CIRCULARSEBI/HO/MIRSD/CRADT/CIR/P/2019/121 November 04, 2019 ToAll Credit Rating Agencies (CRAs) registered with SEBI Dear Sir/ Madam, Sub: Enhanced Governance Norms for Credit Rating Agencies (CRAs) In order to further enhance governance and accountability of Credit Rating Agencies (CRAs), the following …
Listed banks to make disclosure of divergence in asset classification and provisioning – SEBI Circular Securities and Exchange Board of India CIRCULAR CIR/CFD/CMD1/120/2019 October 31,2019 ToAll banks which have listed specified securitiesAll the Recognized Stock Exchanges Madam / Sir, Sub: Disclosure of divergence in the asset classification and …
Conditions to be complied with upon resignation of the statutory auditor of a listed entity/material subsidiary w.r.t. limited review / audit report as per SEBI LODR Regulations Securities and Exchange Board of India CIRCULARCIR/CFD/CMD1/114/2019 October 18, 2019 ToAll Listed Entities/ Material SubsidiariesAll the Recognized Stock Exchanges Madam / …
Position Limits in Interest Rate Derivatives. Category-wise position limits for 4-8 and 8-11 years bucket Securities & Exchange Board of India CIRCULAR SEBI/HO/MRD/CIR/P/2019/103 September 26, 2019 All Recognized Stock Exchanges All Recognized Clearing Corporations Dear Sir / Madam Position Limits in Interest Rate Derivatives (IRD) SEBI vide circulars …
SAT quashed SEBI order debarring by Price Waterhouse firms/other auditors from auditing listed Companies and Directions to listed Companies not to engage ABCAUS Case Law Citation:ABCAUS 3145 (2019) (09) SAT In the instant case, the appellant led by Price Waterhouse & Co had filed a group of appeals …
Extension of deadline for transfer of Clients’ Securities to their demat accounts by Trading / Clearing Members to 1st October 2019 from 1st September 2019 – SEBI Circular CIRCULAR SEBI/HO/MIRSD/DOP/CIR/P/2019/95 August 29, 2019 ToAll Recognized Stock ExchangesAll Recognized Clearing Corporations All Depositories All Trading Members/Clearing Members through Stock …
Non-compliance of provisions of SEBI ICDR Regulations to attract stiff penalties. Stock exchange to issue notices to non-compliant listed entities. Circular Securities and Exchange Board of India CIRCULAR SEBI/ HO/CFD/ DIL2/CIR/ P/2019/94                 …
Parking of Funds in Short Term Deposits of Scheduled Commercial Banks by Mutual Funds –Pending deployment  Securities and Exchange Board of India  CIRCULARSEBI/HO/IMD/DF4/CIR/P/2019/093  August 16, 2019  All Mutual Funds/Asset Management Companies (AMCs)/Trustee Companies/Boards of Trustees of Mutual Funds  Sir/Madam,  Sub: Parking of …
Disclosure of reasons for encumbrance by promoter of listed companies. Additional disclosure requirements under SEBI Takeover Regulations Securities and Exchange Board of India CIRCULAR SEBI/HO/CFD/DCR1/CIR/P/2019/90                                       August 07, 2019 To,All recognised stock exchanges Dear Sir/ Madam, Sub:  Disclosure  of  reasons  for encumbrance  by  promoter  of  listed companies 1. The …
