SEBI UPDATE 2009

SEBI Update - 2008

• Guidelines in respect of exit option to Regional Stock Exchanges
• Establishment of Connectivity with both depositories NSDL and CDSL – Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
• Master Circular on Anti Money Laundering and Combating Financing of Terrorism (AML and CFT) Standards
• Code on Conflict of Interests for Members of Board
• Review of Provisions relating to Close Ended Schemes
• SEBI (DIP) Guidelines, 2000 updated upto December 8, 2008
• Listing and trading of warrants issued as part of a QIP being a combined issuance of NCDs with Warrants
• Amendments to SEBI (DIP) Guidelines, 2000
• Maintenance of Security Deposit of 1% of the amount of securities offered to public/shareholders by issuer companies with the designated stock exchanges
• Cross Margining across Exchange traded Equity (Cash) and Exchange traded Equity Derivatives (Derivatives) segments
• Establishment of Connectivity with both depositories NSDL and CDSL – Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
• Establishment of Connectivity with both depositories NSDL and CDSL – Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
• Time period for utilization of debt limits
• Issuance of Electronic Contract Notes (ECNs) in Equity Derivatives Segment
• Framework for recognition and supervision of stock exchanges / platforms of stock exchanges for small and medium enterprises
• Review of Securities Lending and Borrowing (SLB) Framework
• Standardising format of Abridged Schemewise Annual Report Format and reduction in time period for dispatch to the unitholders - Amendments to SEBI (Mutual Funds) Regulations, 1996
• Applicability of NAV for Income/Debt oriented Mutual Fund scheme(s)/plan(s) (other than liquid fund schemes)
• Corporate Governance in listed Companies – Clause 49 of the Listing Agreement
• Foreign Investments in Infrastructure Companies in Securities Markets
• Internal Audit for stock brokers/trading members/clearing members
• Revised Exposure Margin for Exchange Traded Equity Derivatives
• Standardising format of Abridged Schemewise Annual Report Format and reduction in time period for dispatch to the unitholders
• Lending of securities bought in the Indian Market
• Valuation of Debt securities by Mutual Funds
• Allotment of Code to MCX Stock Exchange Limited
• FII investments in Debt Securities
• Dissemination of further information about FII activity
• Revised Exposure Margin for Exchange Traded Equity Derivatives
• Removal of restrictions on ODIs
• Eligibility criteria for introduction of derivatives on shares
• The Securities and Exchange Board of India (Mutual Funds) (Third Amendment) Regulations, 2008
• Applications Supported by Blocked Amount (ASBA) facility in Rights Issues
• Amendments to Equity Listing Agreement
• Effective date of ASBA Process and clarification on clause 2.8 of SEBI (Disclosure and Investor Protection (DIP)) Guidelines, 2000
• Amendments to SEBI (Disclosure and Investor Protection) Guidelines 2000
• Establishment of Connectivity with both depositories NSDL and CDSL
• Internal Audit for stock brokers/clearing members
• The SEBI (Portfolio Managers) (Amendment) Regulations, 2008
• The SEBI (Stock Brokers And Sub- Brokers) (Amendment) Regulations, 2008
• The SEBI (Depositors and Participants) (Second Amendment) Regulations, 2008
• Extending calendar spread treatment till expiry of the near month contract
• Exchange Traded Currency Derivatives
• The SEBI (Employee Stock Option Scheme and Employee Stock Purchase Scheme), Guidelines, 1999
• Amendments to SEBI (Employee Stock Option Scheme and Employee Stock Purchase Scheme) Guidelines, 1999
• Establishment of Connectivity with both depositories NSDL and CDSL - Companies eligible for shifting from TFTS to normal Rolling Settlement
• Circular on Applications Supported by Blocked Amount - Bankers to an Issue
• Circular on Applications Supported by Blocked Amount - Merchant Bankers
• Circular on Applications Supported by Blocked Amount - Registrars to an Issue
• SEBI - Disclosure and Investor Protection Guidelines 2000 - updated upto July 30, 2008
• Circular on Applications Supported by Blocked Amount - Stock Exchanges
• Designated e-mail ID for regulatory communication with SEBI - Merchant Bankers
• Designated e-mail ID for regulatory communication with SEBI - SE/Depositories
• Abridged Schemewise Annual Report Format and periodic disclosures to the unitholders
• Annual Systems Audit
• Submission of Monthly Reports
• Designated e-mail ID for regulatory communication with SEBI
• FII investments in Debt Securities
• Mandatory requirement of PAN
• Parking of Funds in Short Term Deposits of Scheduled Commercial Banks by Mutual Funds - Pending Deployment
• Corrigendum to SEBI (Intermediaries) Regulations, 2008 and SEBI (Issue and Listing of Debt Securities) Regulations, 2008
• Establishment of Connectivity with both depositories NSDL and CDSL - Companies eligible for shifting from Trade for Trade Segment (TFTS) to Rolling Segment
• The SEBI (Intermediaries) Regulations, 2008
• The SEBI (Public Offer and Listing of Securitised Debt Instruments) Regulations, 2008
• Parking of Funds in Short Term Deposits of Scheduled Commercial Banks by Mutual Funds - Pending Deployment
• The Securities and Exchange Board of India (Issue and Listing of Debt Securities) Regulations, 2008
• FII investments in Debt Securities
• Short Selling and Securities Lending and Borrowing & Net Settlement of Government Securities Transactions
• Undertakings for ODI activity
• Simplification of Offer Document and Key Information Memorandum of Mutual Funds Scheme
• Margining of institutional trades in the cash market
• Reporting of information on a half yearly basis
• Reporting of information on a periodic basis
• Reporting of information on a quarterly basis
• Comprehensive Risk Management Framework for the cash market
• Establishment of Connectivity with both depositories NSDL and CDSL - Companies eligible for shifting from TFTS to Rolling Segment
• List of Million Plus Cities
• List of Million Plus UAs Cities
• Notification on Real Estate Mutual Fund Schemes and Initial Issue Expenses
• Revised Monthly Cumulative Report
• The SEBI (Mutual Funds) (Amendment) Regulations, 2008
• Interpretation of term "shareholder having trading rights" under Securities Contracts (Regulation) (Manner of Increasing and Maintaining Public Shareholding in Recognised Stock Exchanges) Regulations, 2006
• Collateral deposited by clients with brokers
• Comprehensive Risk Management Framework for the cash market
• Overseas Investments by Mutual Funds
• Corporate Governance in listed Companies - Clause 49 of the Listing Agreement
• Reduction in filing fees for offer documents
• Introduction of Bond Index
• Exemption from mandatory requirement of PAN
• Introduction of Direct Market Access facility
• Revision in Filing Fees and Registration Fees
• SEBI (Payment of Fees) (Amendment) Regulations, 2008
• SEBI (Issuing Observations on Draft Offer Documents Pending Regulatory Actions) (Amendment) Order, 2008 [General Order No. 1 of 2008]
• Regarding rationalization of fees [Press Release No.92]
• Margining of institutional trades in the cash market
• Operationalisation of Short Selling and Securities Lending and Borrowing
• Load on Bonus Units and units allotted on Reinvestment of Dividend
• Amendments to SEBI (Disclosure and Investor Protection) Guidelines, 2000
• SEBI DIP Guidelines 2000 updated upto 17-03-08
• Establishment of Connectivity with both depositories NSDL and CDSL - Companies eligible for shifting from Trade for Trade Segment (TFTS) to Rolling Segment
• Eligibility criteria, market structure and governance of Derivative Exchange
• Instructions to Merchant bankers - Circular 1
• New Scheme Report
• Safeguards to address the concerns of the investors on transfer of securities in dematerialized mode
• Standard warning in Advertisements by Mutual Funds
• Establishment of Connectivity with both depositories NSDL and CDSL - Companies eligible for shifting from Trade for Trade Segment (TFTS) to Rolling Segment
• Extending number of centers where refund shall be made through ECS in public/rights issues
• Removal of Initial issue expenses
• FII investments in Debt Securities
• Trading and settlement of trades in dematerialized scrips
• Introduction of Volatility Index
• Introduction of Index options with longer tenure

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