Disclosure of investor complaints with respect to Mutual Funds SEBI has received feedback from investors and Investors’ Associations to improve transparency in the...
Friday, August 6, 2010
Change of status or constitution or control of Credit Rating Agency requires prior approval of SEBI - CRA amendment 2010
CIR/MIRSD/CRA/7/2010 dated 13th May 2010 read with Gazette Notification No. LAD-NRO/GN/2009-2010/30/199044 dated 19th March 2010 and issue of SEBI (CREDIT RATING AGENCIES) (AMENDMENT)...
Declaration & Undertakings regarding PCC, MCV or equivalent structure by FIIs to be submitted within 30th September 2010
Sub: Additional information regarding PCC, MCV or equivalent structure by FIIs. In order to ascertain the constitution of Foreign Institutional Investors (FII) and...
Three principles for identification of deprived persons, amount and the method of reallocation in SEBI's disgorgement process - Justice Wadhwa Committee
SEBI’s Disbursement Process of Disgorged Amount in IPO It is with regard to the disbursement of reallocation amount to investors from the amount...
Closing/shifting your Demat account, get refund of AMC collected upfront on annual/half yearly basis by Depository Partcipant (DP) now
Account Maintenance Charges collected upfront on annual/ half yearly basis on demat accounts The Depository Participants (DPs) have a system of collecting account...
Weekly reporting by FII (lending) on every friday, to be made available to public every tuesday - Website link & email id
Reporting of Lending of securities bought in the Indian Market 1. Please refer to Circular No. IMD/FII&C/32/2008 dated October 16, 2008 read with...
What exam for approved users & sales personnel of trading members in currency derivatives segment and trading in interest rate derivatives, register for NISM now
Notification No. LAD-NRO/GN/2010-11/12/10230 dated 29th June 2010 under regulation 3 of the Securities and Exchange Board of India (Certification of Associated Persons in...
What exam for distributors, agents or any persons employed or engaged or to be employed or engaged in the sale and/or distribution of mutual fund products by SEBI NISM?
Cir / IMD / DF / 5 / 2010 June 24 , 2010 All Mutual Funds, Asset Management Companies (AMCs) Sub: Certification Programme...
NSE website link of QIP offer documents with shareholding pattern as filed under Clause 35 format
Sub: Disclosure of details of the allottees in the Qualified Institutional Placements (QIP) made by issuer company SEBI has decided that the details...
Thursday, August 5, 2010
Issue of Debt Securities now has Non-Convertible Debentures (Reserve Bank) Directions, 2010 in addition to compliance under Companies Act & SEBI regulation
Reporting of Issuance of Non Convertible Debentures The Reserve Bank of India has issued the ‘Issuance of Non-Convertible Debentures (Reserve Bank) Directions, 2010’...
Overriding Clarification on Classification of Manufacture & Service Industries under Micro Small Medium Enterprises Act issued by MSME Ministry
Categorisation of activities under manufacture or service under the MSMED Act, 2006 This always remained as a moot point, while categorising under MSMED...
Violated Foreign Exchange laws: on becoming aware of the contravention, disclose it to RBI to save huge penalty of 2 lakhs or 3 times the amount involved in transaction [Compounding Master Circular]
It has been decided to put in place an updated procedure for compounding of contravention/s under FEMA on the basis of observations made...
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