Category: SEBI

Alignment of interest of Key Employees of Asset Management Companies with Unitholders of Mutual Fund Schemes

Alignment of interest of Key Employees of Asset Management Companies with Unitholders of Mutual Fund Schemes Securities and Exchange Board of India CIRCULAR SEBI/HO/IMD/IMD-I/DOF5/P/CIR/2021/553 April 28, 2021 All Mutual Funds (MFs)/Asset Management Companies (AMCs)/Trustee Companies/ Board of Trustees of Mutual Funds/Association of Mutual Funds in India (AMFI)  Sir/Madam, Subject: …

SEBI guidelines/policies on Provisional Rating by Credit Rating Agencies

SEBI guidelines Standardizing and Strengthening Policies on Provisional Rating by Credit Rating Agencies (CRAs) for Debt Instruments Securities and Exchange Board of India CIRCULAR SEBI/HO/MIRSD/MIRSD_CRADT/P/CIR/2021/554 April 27, 2021 ToAll Credit Rating Agencies (CRAs) registered with SEBI Dear Madam / Sir, Sub: Standardizing and Strengthening Policies on Provisional Rating …

SEBI (Prohibition of Insider Trading ) (Amendment) Regulations 2021. Initial disclosure requirement omitted.

SEBI (Prohibition of Insider Trading ) (Amendment) Regulations 2021. Initial disclosure requirement omitted.   SECURITIES AND EXCHANGE BOARD OF INDIA   NOTIFICATION   Mumbai, the 26th April, 2021 SECURITIES AND EXCHANGE BOARD OF INDIA (PROHIBITION OF INSIDER TRADING) (AMENDMENT) REGULATIONS, 2021 No. SEBI/LAD-NRO/GN/2021/17.—In exercise of the powers conferred …

Portfolio manager to obtain prior approval of SEBI in case of change in control as condition of registration

Portfolio manager to obtain prior approval of SEBI in case of change in control. SEBI amends conditions for registration of portfolio managers SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 26th April, 2021 SECURITIES AND EXCHANGE BOARD OF INDIA (PORTFOLIO MANAGERS) (SECOND AMENDMENT) REGULATIONS, 2021 No. SEBI/LAD-NRO/GN/2021/16.—In …

SEBI Guidelines for warehousing norms for agricultural/agri-processed goods and non-agricultural goods

SEBI Guidelines for warehousing norms for agricultural/agri-processed goods and non-agricultural goods SECURITIES AND EXCHANGE BOARD OF INDIA CIRCULARSEBI/HO/CDMRD/DMP/P/CIR/2021/551 April 16, 2021 The Managing Directors / Chief Executive Officers,All Recognized Stock Exchanges and Clearing Corporations having commodity derivatives segment Dear Sir / Madam, Sub: Guidelines for warehousing norms for …

SEBI revises Reporting Formats for Mutual Funds

SEBI revises Reporting Formats for Mutual Funds. Reports to be submitted by AMCs to Trustees, by AMCs to SEBI and by Trustees to SEBI reviewed Securities and Exchange Board of India CIRCULARSEBI/HO/IMD/IMD-I DOF2/P/CIR/2021/550 April 12, 2021 All Mutual Funds (MFs)/ Asset Management Companies (AMCs)/Trustee Companies/Board of Trustees of …

Reduction in time limit for unblocking/refund of application money in terms of SEBI (ICDR) Regulations

Reduction in time limit for unblocking/refund of application money in terms of the SEBI (ICDR) Regulations SECURITIES & EXCHANGE BOARD OF INDIA CIRCULAR SEBI/HO/CFD/DIL1/CIR/P/2021/47 March 31, 2021 ToAll Registered Merchant BankersAll the Nationwide Stock ExchangesAll Registered Registrars to an Issue and Share Transfer AgentsAll Self Certified Syndicate Banks …

Revised Procedure for Combating Financing of Terrorism. SEBI directions to Stock Exchanges, Depositories & all registered intermediaries

Revised procedure for Combating Financing of Terrorism (CFT)–SEBI Directions to Stock Exchanges, Depositories & all registered intermediaries SECURITIES & EXCHANGE BOARD OF INDIA CIRCULAR SEBI/HO/MIRSD/DOP/CIR/P/2021/36 March 25, 2021 To,All Intermediaries Registered with SEBI under Section 12 of the Securities and Exchange Board of India Act, 1992(Through the Stock …

Review of delivery default and penalty norms in commodity derivatives segment

Review of delivery default and penalty norms in commodity derivatives segment. Percentage of penalty and norms for apportionment of penalty SECURITIES & EXCHANGE BOARD OF INDIA CIRCULAR SEBI/HO/CDMRD/DRMP/CIR/P/2021/35 March 23, 2021 To The Managing Directors / Chief Executive OfficersAll Clearing Corporations having Commodity Derivatives Segment Sir / Madam, …