SEBI extends the role of its Regional offices to accept applications for public issues under ICDR regulations vide CIR/CFD/DIL/9/2010 dated 13th October 2010...
Showing posts with label SEBI Others. Show all posts
Showing posts with label SEBI Others. Show all posts
Tuesday, December 7, 2010
Monday, December 6, 2010
No preferential allotment to promoter for 1 year on warrant failure, Be a retail investor UPTO 2 lakhs, Advertise filing of offer documents, Uniform allotment in offer to public, Asks company to decide whether partly/fully paid shares - SEBI ICDR 4th Amendment 2010
SEBI Issue of Capital & Disclosure Requirements - ICDR (Fourth Amendment) Regulations, 2010: The amendment includes postal insurance funds as QIB, increases retail...
Sunday, November 28, 2010
SEBI interprets whether offer to 50 or more persons amounts to public & thereby mandates listing under Companies Act, irrespective of intention to list its securities with Stock Exchange - reading together Section 55A with 73
On 24th November 2010, it happened!!! SEBI, the watch dog of Indian Capital Market did its part of research on Companies Act to...
Wednesday, October 13, 2010
Monthly Portfolio Management Activity report to be filed within 5 days of month at SEBI portal - Revised format
Sub: Monthly reporting by Portfolio Managers Please refer to SEBI circular SEBI/IMD/PMS/CIR-3/2009 dated June 11, 2009 regarding submission of monthly report by portfolio...
Thursday, August 19, 2010
Download Referencer on Secretarial Audit under Corporate Governance Voluntary Guidlines for Company Secretaries issued by ICSI, good read through
The Ministry of Corporate Affairs (MCA), Government of India released CORPORATE GOVERNANCE VOLUNTARY GUIDELINES 2009 on December 21, 2009. The preamble to Guidelines...
All investor related documents of MF like PAN, KYC, PoA specimen signature shall be updated by AMC/RTA & get it audited - Mandatory for all new schemes also
Updation of investor related documents SEBI vide circular No. SEBI/IMD/CIR No.12 /186868 /2009 dated December 11, 2009 has inter alia advised mutual funds...
All amended SEBI circulars on Arbitration mechanism in stock exchange as governed by Arbitration & Conciliation Act, 1996
Revised Arbitration Mechanism in Stock Exchanges In consultation with the stock exchanges, it has been decided to streamline the arbitration mechanism available at...
SEBI Clarification: AMC Addendum:all mutual fund schemes in demat form shall be freely transferable from 1st October, 2010 (except ELSS)
Transferability of Mutual Fund units Regulation 37(1) of SEBI (Mutual Fund) Regulations, 1996 states that: “a unit unless otherwise restricted or prohibited under...
New format of disclosure of derviatives by Mutual Fund & investment/exposure norms amended
Review of norms for investment and disclosure by Mutual Funds in derivatives Please refer to the circular DNPD/CIR-29/2005 dated September 14 2005, circular...
Fund of Fund MF schemes expense structure in offer document & change amounts to fundamental attribute requiring exit option to unit holders
Fund of funds mutual fund schemes shall adopt either of the total expense structures laid out in Regulation 52(6)(a) of SEBI (Mutual Funds)...
Saturday, August 7, 2010
Download SME Listing Agreement & understand deviations from Equity; how to set up SME Exchange with networth of 100 crores & requirements under SCRA
Sub: Conditions of listing for issuers seeking listing on SME Exchange - Model SME Equity Listing Agreement In recognition of the need for...
Friday, August 6, 2010
ASBA for all, Discounted price for employees, issuer can regulate bids, fti liberalised as to SCN, reservation for other employees also, lock-in preferential issue sica, IDR %: SEBI ICDR Amendments 2010
Download the Updated Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2009 as on date. There are three...
FII Amendment 2010: exemption extended to market making through SME platform under Chapter XA ICDR
In the Securities and Exchange Board of India (Foreign Institutional Investors) Regulations, 1995 through SEBI (FII) (Amendment) Regulations, 2010 vide Notification No. LAD-NRO/GN/2010-11/02/1107...
No separate certificate of registration for stock & sub brokers to trade in SME platform under Chapter XA of ICDR: Amendment 2010
In the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) Regulations, 1992, through SEBI (Stock Brokers and Sub- Brokers) (Amendment) Regulations,...
Regulation 3(1)(f)(vii): Automatic exemption from Reg 10, 11 & 12 for taking up shares in market making extended to Chapter XA of ICDR - Takeover Code Amendment 2010
In the Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) Regulations, 1997 through SEBI (Substantial Acquisition of Shares and...
Market Making arrangement by Venture Capital Fund for securities listed on SME exchange: Regulation 12A insertion: VCF Amendment 2010
In the Securities and Exchange Board of India (Venture Capital Funds) Regulations, 1996, through SEBI (Venture Capital Funds) (Amendment) Regulations, 2010 vide Notification...
Understand Mutual Fund amendments 2010: offer period 15 days, refund & MF unit certificate 5 w.days & limits on fees/expenses on schemes
In the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996, the following amendments were made through SEBI (Mutual Funds) (Amendment) Regulations,...
Equity Research Report on listed companies available for download: BSE/NSE website links for investors
PR No.161/2010 Independent Equity Research Reports on listed companies made available on Stock Exchange websites In a meeting of SEBI recognized Investors’ Associations...
SEBI guidelines on Market Access through Authorised Persons under Stock Brokers regulation as amended on 2010
To expand the reach of the markets for exchange traded products, it has been decided to allow SEBI registered stock brokers (including trading...
How to find whether your Investors Complaints are received by Mutual Fund - AMFI website link
Disclosure of investor complaints with respect to Mutual Funds SEBI has received feedback from investors and Investors’ Associations to improve transparency in the...
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