SEBI Update - Service platform for investors to trace inactive and unclaimed Mutual Fund folios- MITRA (Mutual Fund Investment Tracing and Retrieval Assistant)
The Securities and Exchange Board of India (SEBI) has introduced a new initiative called MITRA—Mutual Fund Investment Tracing and Retrieval Assistant. MITRA is a service platform designed to provide a searchable database…
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SEBI Update - Facilitation to SEBI registered Stock Brokers to access Negotiated Dealing System-Order Matching (NDS-OM) for trading in Government SecuritiesSeparate Business Units (SBU)
SEBI issued a notification regarding Facilitation to SEBI registered Stock Brokers to access Negotiated Dealing System-Order Matching (NDS-OM) for trading in Government Securities Separate Business Units (SBU). Rese…
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SEBI Update - Safer participation of retail investors in Algorithmic trading
Securities and Exchange Board of India (SEBI) issued a circular aimed at enabling safer participation of retail investors in Algorithmic Trading (Algo trading). The regulatory framework aims to create a balance betw…
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SEBI Update - Framework for Monitoring and Supervision of System Audit of Stock Brokers (SBs) through Technology based Measures.
The following guidelines shall be prescribed for the conduct of system audit of Stock Brokers (SBs). Monitoring and Supervision of System Audit process through online mechanism: Stock Exchanges shall establish …
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SEBI Update - (1) Parameters for external evaluation of Performance of Statutory Committees of Market Infrastructure Institutions (MIIs); and (2) Mechanism for internal evaluation of Performance of MIIs and its Statutory Committees
SEBI came out with guidelines for the evaluation of the performance of statutory committees of Market Infrastructure Institutions (MIIs) and Mechanism for internal evaluation of Performance of MIIs and its Statutory Comm…
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SEBI Update - Details/clarifications on provisions related to association of persons regulated by the Board, MIIs, and their agents with persons engaged in prohibited activities
Securities and Exchange Board of India (Intermediaries) (Amendment) Regulations, 2024, Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) (Fourth Amendment) Regulations, 2024 and Securities and…
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SEBI Update - Format of Due Diligence Certificate to be given by the DTs
SEBI vide notification dated July 10, 2024, amended the SEBI (Issue and Listing of Non Convertible Securities) Regulations, 2021 (‘NCS Regulations’) inter alia specifying the format of Due diligence certificate to be sub…
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SEBI Update - Development of Web-based portal: iSPOT(Integrated SEBI Portal for Technical glitches) for reporting of technical glitches.
SEBI has stipulated the Standard Operating Procedure for handling of technical glitches by Market Infrastructure Institutions (MIIs) and payment of financial disincentive thereof as follows: Annexure XI of Chapter 2 of M…
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SEBI Update - Timeline for Review of ESG Rating pursuant to occurrence of ‘Material Events’
SEBI has issued revised timeline for review of ESG Rating pursuant to occurrence of ‘Material Event’. ERPs shall carry out a review of the ESG ratings upon the occurrence of or announcement/ news of such material develop…
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SEBI Update - Disclosure of Risk adjusted Return - Information Ratio (IR) for Mutual Fund Schemes.
SEBI has issued directions for Disclosure of Risk adjusted Return Information Ratio (IR) for Mutual Fund Schemes. Mutual Funds/ AMCs shall disclose IR of a scheme portfolio on their website along with performance disclos…
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