SEBI Update: Trading Preferences by Clients
Securities and Exchange Board of India(Sebi) has proposed to standardise the format of trading preferences, in a bid to allow investors to access all the stock exchanges in which the stock brokers are registered for the …
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SEBI Update: Standardised approach to valuation of the investment portfolio of Alternative Investment Funds (AIFs)
Sebi has notified that AIFs are inter-alia required to carry out a valuation of their investments in the manner specified by SEBI from time to time. The notification specifies: Valuation of securities for which…
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SEBI Update: Modalities for launching Liquidation Scheme and for distributing the investments of Alternative Investment Funds (AIFs)in-specie
Sebi has amended AIF Regulations to provide flexibility to Alternative Investment Funds to deal with investments of their schemes which are not sold due to lack of liquidity during the winding-up process by either sellin…
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SEBI Update: Adherence to provisions of regulation 51A of SEBI (Issue and Listing of Nonconvertible Securities) Regulations, 2021 by Online Bond Platform Providers on product offerings on Online Bond Platforms
Sebi on 16 th June 2023 restricted online bond platform providers from offering products other than listed debt securities on their platforms. In addition, the regulator allowed them to offer securities such as Governmen…
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SEBI Update: Regulatory framework for Execution Only Platforms forfacilitating transactions in direct plans of schemes of Mutual Funds
SEBI on 13 th June 2023 issued a Regulatory framework for Execution only platform for facilitating transactions in direct plans of scheme of Mutual Fund. This circular shall come into force with effect from 1 st Sep…
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SEBI Update: Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)
SEBI has mandated upstreaming of all client funds received by Stock Brokers (SBs)/Clearing Members (CMs) to Clearing Corporations (CCs) with a view to safeguard clients’ funds placed with SBs/CMs. As per the framewo…
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SEBI Update: Participation of Mutual funds in repo transactions on Corporate Debt Securities.
Sebi allowed mutual funds to invest in repo transactions in securities such as Commercial Papers and Certificate of Deposits. In addition, the capital markets regulator said that mutual funds can participate in repo tran…
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SEBI Update: Online processing of investor service requests and complaints by RTAs
Sebi decided to provide a mechanism for processing of investors' service requests and complaints through online mode by RTAs and thereafter track the status as well as obtain periodical updates. To digitise the process i…
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SEBI Update: Model Tripartite Agreement between the Issuer Company, ExistingShare Transfer Agent and New Share Transfer Agent as per Regulation 7(4) of SEBI(Listing Obligation and Disclosure Requirements) Regulation, 2015
SEBI vide its circular dated 25 th May 2023 issues the Model Tripartite Agreement between the Issuer Company, Existing Share Transfer Agent and New Share Transfer Agent as per Regulation 7(4) of SEBI (Listing Obligation …
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SEBI Update: Revision in computation of Core Settlement Guarantee Fund in Commodity Derivatives Segment
Sebi on 23 rd May revised the methodology for clearing corporations with regard to computation of core Settlement Guarantee Fund corpus in commodity derivatives segment. A core Settlement Guarantee Fund (SGF) is a c…
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