Tag: sebi informal guidance

Order to stock broker through WhatsApp may be considered as legally verifiable record – SEBI SEBI in an informal guidance has stated that order to stock broker through WhatsApp from the registered mobile number of the clients may be considered as legally verifiable record. SEBI had issued circular …

Stock brokers may fund payment of exercise price in ESOP and/or RSUs which shall be adjusted against the sale proceeds The applicant was a registered Stock Broker. It sought clarification from SEBI under the Informal Guidance Scheme on the interpretation of Regulation 9(2) of SEBI (Share Based Employee …

Angel Fund Scheme-Investor may selectively participate and are ring-fenced from other Schemes – SEBI  The requisitionist was an Investment Manager to and Angel Fund. The Fund, being an Angel Fund, had a separate scheme for each of its investments and was filing a separate scheme document with SEBI …