Tag: sebi circular
SEBI KYC Registration Agency (Amendment) Regulations 2022. More duties/power given to KRA SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 28th January, 2022 SECURITIES AND EXCHANGE BOARD OF INDIA {KYC (KNOW YOUR CLIENT) REGISTRATION AGENCY} (AMENDMENT) REGULATIONS, 2022 No. SEBI/LAD-NRO/GN/2022/72.—In exercise of the powers …
SEBI (Listing Obligations and Disclosure Requirements) (Amendment) Regulations 2022. SEBI amends the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 24th January, 2022 SECURITIES AND EXCHANGE BOARD OF INDIA (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) …
SEBI (Prohibition of Fraudulent & Unfair Trade Practices relating to Securities Market) (Amendment) Regulations 2022 The Securities and Exchange Board of India has notified the Securities and Exchange Board of India (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Market) (Amendment) Regulations, 2022 to further amend …
Guidelines for Investment and/or Trading in Securities by Employees of AMC(s) and Trustees SEBI had specified the norms for investment/ trading in securities by employees of AMC(s) and Trustees of Mutual Funds. Subsequently, SEBI partially modified it. Now based on the representations SEBI has decided to review the …
Maintenance of current accounts in multiple banks by Stock Brokers Stock brokers may open appropriate no. of current accounts in multiple banks – SEBI SEBI vide circular no. SMD/SED/CIR/93/23321dated November 18, 1993 on “Regulation of Transactions between Clients and Brokers” mandated that all the stock brokers shall keep …
SEBI relaxes procedural matters related to Issues and Listing SEBI vide Circular no. SEBI/HO/CFD/DIL2/CIR/P/2020/78 dated May 6, 2020, granted one time relaxations from strict enforcement of certain regulations of SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018, pertaining to Rights Issue opening upto July 31, 2020. Based …
SEBI mandates certification for principal officer/employees of Portfolio Managers having decision making authority related to fund management As per the notification No. SEBI/LAD-NRO/GN/2021/49 issued the following is prescribed: Certification requirement for Portfolio Managers 1. The associated persons functioning as principal officer of a Portfolio Manager or employee(s) of …
SEBI requires registered entities to accept only operative PAN linked with Aadhaar number by client As per Central Board of Direct Taxes (CBDT) notification G.S.R 112(E) dated February 13, 2020, the Permanent Account Number (PAN) of a person allotted as on July 01, 2017 shall become inoperative if …
Alignment of interest of Asset Management Companies (‘AMCs’) with the Unitholders of the Mutual Fund Schemes Securities and Exchange Board of India (Mutual Funds) (Second Amendment) Regulations, 2021 (‘MF Amendment Regulations’) was notified on August 05, 2021 and the provisions of the said Regulations will come into force …
Amendment pursuant to comprehensive review of Investor Grievance Redressal Mechanism of SEBI SEBI had issued a Circular SEBI/HO/DMS/CIR/P/2017/15 dated February 23, 2017 on Amendment pursuant to comprehensive review of Investor Grievance Redressal Mechanism. Pursuant to representation received from the stock exchanges, few amendments have been made in the …
