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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SEBI Update - Revise and Revamp Nomination Facilities in the Indian Securities Market
SEBI released a circular detailing a revised and revamped framework for nomination facilities in demat accounts and mutual fund (MF) folios. This update addresses critical gaps, aims to prevent unclaimed assets, and prov…
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SEBI Update - Procedure for seeking waiver or reduction of interest in respect of recovery proceedings initiated for failure to pay penalty
SEBI has delegated the power to waive or reduce the interest levied only in respect of recovery proceedings initiated for failure to pay penalty, to the Competent Authority provided hereunder: Panel of Executive Dir…
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SEBI Update - Guidelines for Research Analysts
The Securities and Exchange Board of India (SEBI) has taken a significant step towards refining the operational framework for Research Analysts (RAs) by issuing new guidelines. These updates, which came into effect on De…
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SEBI Update - Guidelines for Investment Advisers
SEBI has issued Guidelines for Investment Advisers. A person shall be considered eligible for registration as part-time IA if it: Is a member of ICAI or ICSI or ICMAI providing their statutory services or an insuran…
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SEBI Update - Measure for ease of doing business - Settlement of Account of Clients who have not traded in the last 30 days
SEBI has decided to revise the requirement of mandatory settlement of clients’ funds. Accordingly, it has been decided that the funds of such clients who have not traded in the last 30 calendar days shall be settled…
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