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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SEBI Update: Dematerialization of securities of Hold Cos and SPVs held by Real Estate Investment Trusts (REITs)
Regulation 14(18) of SEBI (Real Estate Investment Trust) Regulations, 2014 (“REIT Regulations”) provides that the units of REIT shall be issued only in dematerialized form to all the applicants. It has been decided …
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SEBI Update: Dematerialization of securities of Hold Cos and SPVs held by Infrastructure Investment Trusts (InvITs)
Regulation 14(4)(r) of SEBI (Infrastructure Investment Trusts) Regulations, 2014 (“InvIT Regulations”) provides that the units of InvIT shall be issued only in dematerialized form to all the applicants. It has been …
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SEBI Update: Risk disclosure with respect to trading by individual traders in Equity Futures & Options Segment
The SEBI on May 19 2023 issued a circular which states the following : It state that in order to facilitate informed decision making by the investors trading the derivative segment. It has been decided to introduce …
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SEBI Update: Investment in units of Mutual Funds in the name of minor through guardian
Sebi on 12 th May vide its circulars states the rules about investment in mutual funds made in the name of a minor through a guardian. The regulator has asked all Asset Management Companies (AMCs) to make the necessary c…
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SEBI Update- Direct Market Access (DMA) to SEBI registered Foreign Portfolio Investors (FPIs) for participating in Exchange Traded Commodity Derivatives (ETCDs)
SEBI vide its Circular dated 10 th May 2023 issued to All Recognized Stock Exchanges having Commodity Derivatives Segment All Foreign Portfolio Investors registered with SEBI All Custodians registered with SEBI. The…
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