SEBI Update - Most Important Terms and Conditions (MITC) for Research Analysts
SEBI issued the Most Important Terms and Conditions (MITC) for Research Analysts The MITC shall be informed by the RAs to their clients via email or any other suitable mode of communication (which can be preserved) …
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SEBI Update - Most Important Terms and Conditions (MITC) for Investment Advisers
SEBI issued the Most Important Terms and Conditions (MITC) for Investment Advisers. The MITC shall be informed by the IAs to the clients via email or any other suitable mode of communication (which can be preserved)…
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SEBI Update- Industry Standards on “Minimum information to be provided for review of the audit committee and shareholders for approval of a related party transaction”
Regulation 23(2), (3) and (4) of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 (“LODR Regulations”) require related party transactions (“RPTs”) to be approved by the audit committee and by the …
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SEBI Update - Revised timelines for issuance of Consolidated Account Statement (CAS) by Depositories
SEBI Master Circular for Depositories, issued on December 3, 2024, outlined the process for generating CAS for securities and assets in investors’ accounts. According to the guidelines, CAS was to be generated on a month…
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SEBI Update - Relaxation in timelines for holding AIFs’ investments in dematerialised form
SEBI (Alternative Investment Funds) Regulations, 2012, AIFs were initially required to hold their investments in dematerialized form within a specified timeline. The SEBI Circular of January 12, 2024, later encapsulated …
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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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