SEBI Update - Repository of documents relied upon by Merchant Bankers during due diligence process in Public issues
Merchant bankers shall upload the documents in the Document Repository platform of any of the stock exchanges and intimate the same to the other stock exchange(s) where the securities of the issuer company are proposed t…
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SEBI Update - SMS and E-mail alerts to investors by stock exchanges
SEBI, vide Circular dated August 02, 2011 (hereinafter mentioned as ‘Circular’) and Clause 33 of Master Circular for Stock Brokers dated August 09, 2024 (hereinafter mentioned as ‘Master Circular’), issued guidelines reg…
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SEBI Update - Disclosure of expenses, half yearly returns, yield and risk-o-meter of schemes of Mutual Funds
Disclosure of expenses, half yearly returns and yield of a scheme Disclosure of expenses, returns during the half year and yield of direct and regular plans shall be as under The expenses disclosed in terms of …
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SEBI Update - Investments in Overseas Mutual Funds/ Unit Trusts by Indian Mutual Funds
Mutual Funds are permitted to invest in overseas securities which also includes investment in overseas Mutual Funds/Unit Trusts (‘MF/UTs’). In order to facilitate ease of investment in overseas MF/UTs, to bring transpare…
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SEBI Update - (A) Annual Compliance Certificate for Client Level Segregation by nonindividual Investment Advisers; (B) Timeline for submission of periodic reports
(A) Annual Compliance Certificate for Client Level Segregation by nonindividual Investment Advisers It has been decided to allow a non-individual IA to obtain an annual compliance certificate from any auditor. In view of…
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SEBI Update - Periodic reporting format for Research Analysts and Proxy Advisers
RAs shall submit their periodic report to RAASB and PAs shall submit their periodic reports to SEBI. The periodic reports shall be submitted by RAs/PAs within 30 days from the last date of the reporting period. RAs/…
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SEBI Update - Clarification with respect to advertisement code for Research Analysts (RAs)
It is clarified that Research Report and research recommendations of an RA are not considered advertisement unless anything contained in the research report is in the nature of promotion of products or services offered b…
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SEBI Update - Modification in Annexure to Common Application Form (CAF)
To provide the flexibility to existing and new FPIs, the ‘Annexure to Common Application Form’ attached as Annexure B to the FPI Master Circular is modified as follows: The following additional option is inserted under ‘…
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SEBI Update - Association of persons regulated by the Board and their agents with certain persons
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 - Inclusion of Mutual Fund units in the SEBI (Prohibition of Insider Trading) Regulations, 2015
The inclusion of mutual fund units under the SEBI (Prohibition of Insider Trading) Regulations, 2015 Inclusion of Mutual Fund Units in PIT Regulations Mutual fund units are now explicitly covered under SEBI's inside…
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