SEBI Update - Institutional mechanism by Asset Management Companies for identification and deterrence of potential market abuse including front-running and fraudulent transactions in securities
AMCs shall put in place an institutional mechanism for identification and deterrence of potential market abuse including front-running and fraudulent transactions in securities. This mechanism shall consist of enhanced s…
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SEBI Update - Amendment to Circular for mandating additional disclosures by FPIs that fulfil certain objective criteria
SEBI vide Circular dated August 24, 2023 mandated additional disclosures for FPIs that fulfil objective criteria as specified in the said Circular. Further, FPIs satisfying any of the criteria listed under Para 8 of the …
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SEBI Update - Information to be filed by schemes of AIFs availing dissolution period/additional liquidation period and conditions for in-specie distribution of assets of AIFs
Securities and Exchange Board of India (Alternative Investment Funds) (Second Amendment) Regulations 2024, notified on April 25, 2024, flexibility has been provided to schemes of AIFs to opt for dissolution period to dea…
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SEBI Update - Ease of doing business - Streamlining of prudential norm for passive schemes regarding exposure to securities of group companies of the sponsor of Mutual Funds
It was decided to streamline the extant prudential norm applicable to investments by passively managed Mutual Fund schemes in the group companies of their sponsors Pursuant to the said amendment, clause 9 of Seventh…
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SEBI Update - Measures for Ease of Doing Business for Credit Rating Agencies (CRAs) – Timelines and Disclosures
It has been decided to provide specific timelines for dealing with appeals made by the issuer in respect of rating actions carried out pursuant to periodic surveillance of ratings. Periodic surveillance Communi…
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SEBI Update - Modification to Enhanced Supervision of Stock Brokers and Depository Participants
SEBI, vide Circular dated September 26, 2016 (hereinafter mentioned as ‘circular’) and Master Circular for Stock Brokers dated May 22, 2024 (hereinafter mentioned as ‘Master Circular’), inter alia, specified timelines fo…
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SEBI Update - Measures to instil confidence in securities market – Brokers’ Institutional mechanism for prevention and detection of fraud or market abuse
It has been decided that stock brokers shall comply with the following obligations / mechanisms as laid down in Chapter IVA of the Broker Regulations: Systems for surveillance of trading activities and internal cont…
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SEBI Update - Reduction in denomination of debt securities and non-convertible redeemable preference shares
SEBI vide circular dated July 03, 2024 has announced reduction in denomination of debt securities and non-convertible redeemable preference shares. Market participants have expressed that lower ticket size of debt securi…
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SEBI Update - Dispatch of Consolidated Account Statement (CAS) for all securities assets
Considering the increasing reach of digital technology, electronic mode now being the preferred mode of communication and as a green initiative measure and to streamline the regulatory guidelines on mode of dispatch of a…
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SEBI Update - Charges levied by Market Infrastructure Institutions – True to Label
It has been decided that the MIIs would comply with following additional principles while designing the processes for charges levied on their members which are to be recovered from the end clients: a. The MII charge…
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