SEBI Update - 2009
- Clearing and Settlement of trades in Corporate Bonds through Clearing Corporations
- Revision of transaction charges by the stock exchanges
- Prior approval for re-commencing trading on the Stock Exchange
- Statement of additional information (SAI) & Scheme Information Document (SID) to be made available on SEBI website
- Filing of offer documents with SEBI under ICDR Regulations
- Code of Conduct for Intermediaries of Mutual funds
- Systems Audit of Mutual Funds
- Applicability of Delisting Regulations- Transitional Provisions
- Compliance with Regulation 16(8) of SEBI (Portfolio Managers) Regulations,1993
- Establishment of Connectivity with both depositories NSDL and CDSL - Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
- Allocation methodology of debt investment limits to FIIs
- Disclosure of investor complaints and arbitration details on Stock Exchange website
- SEBI (Employee Stock Option Scheme and Employee Stock Purchase Scheme) Guidelines, 1999 (As updated upto 3rd September 2009)
- Application under sub-rule (7) of rule 19 of the Securities Contracts (Regulation) Rules, 1957 for relaxing strict enforcement of clause (b) to sub-rule (2) of rule 19 thereof
- Amendments to Equity Listing Agreement
- Notification of the SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009
- Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2009
- Amendments to SEBI (Employee Stock Option Scheme and Employee Stock Purchase Scheme) Guidelines, 1999
- Anti Money Laundering / Combating Financing of Terrorism Standards - Additional Requirements / Clarifications
- Exchange traded Interest Rate Futures
- Recognised Investors Associations
- SEBI (DIP) Guidelines updated upto August 20, 2009
- Amendment to SEBI (DIP) Guidelines, 2000 - Rights Issue Process/ Procedure
- Exit load - Parity among all classes of unit holders
- SEBI (Aid for Legal Proceedings) Guidelines, 2009
- Exit load - Parity among all classes of unit holders
- Interpretative circular under regulation 5 of the Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) Regulations 1997- Applicability of provisions of regulation 11 (2) thereof, as amended on October 30, 2008
- “Application Supported by Blocked Amount” (ASBA) process
- Portfolio Managers - Amendment to Additional Information for registration / renewal applications
- Procedure for submission of updations in the offer documents filed with SEBI
- SEBI (DIP) Guidelines updated upto July 31, 2009
- Reporting of Inter-Scheme Transfers of Corporate Bonds by Mutual Funds on SEBI Authorized Trade Reporting Platforms at NSE/ BSE/ FIMMDA
- Amendments to the SEBI (Disclosure and Investor Protection) Guidelines, 2000- amendment to Chapter VIA concerning general and disclosure requirements pertaining to IDR issues
- Establishment of Connectivity with both depositories NSDL and CDSL
- Comprehensive Risk Management Framework for the cash market
- Clarifications on SEBI (Prohibition of Insider Trading) Regulations, 1992 [Press Release]
- Amendments to the Equity Listing Agreement
- Abolition of no-delivery period for all types of corporate actions
- SEBI (DIP) Guidelines updated upto July 9, 2009
- Amendments to SEBI (Disclosure and Investor Protection) Guidelines, 2000
- Revision in Filing Fees – Amendments to SEBI (Mutual Funds) Regulations, 1996
- Firm commitment requirement for registration as Foreign Venture Capital Investors
- Mutual Funds - Empowering investors through transparency in payment of commission and load structure
- Securities and Exchange Board of India (Payment of Fees)(Amendment) Regulations, 2009
- Establishment of Connectivity with both depositories NSDL and CDSLCompanies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement
- Maintenance of Clients' Funds in a separate Bank Account by Portfolio Managers
- Clarification on applicability of SEBI Regulations/ Circulars on Initial and Continuous Disclosures for Convertible and Non-Convertible Debt
- Scheme for the introduction of Exchange Traded Interest Rate Futures
- Model Listing Agreement for listing of Indian Depository Receipts
- Guidelines for Investment by Mutual Funds in Money Market Instruments
- Valuation of debt securities by Mutual Funds
- Submission of Monthly Report
- Securities and Exchange Board of India (Delisting Of Equity Shares) Regulations, 2009
- Guidelines for Investment by Mutual Funds in Indian Depository Receipts
- PAN requirement for transfer of shares in physical form
- Securities and Exchange Board of India (Investor Protection and Education Fund) Regulations, 2009
- Notification under Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007
- Allocation methodology of debt investment limits to FIIs
- Compliance with Regulation 16(8) of SEBI (Portfolio Managers) Regulations, 1993
- Simplified Listing Agreement for Debt Securities
- Amendments to the Equity Listing Agreement
- SEBI (DIP) Guidelines updated upto April 20, 2009
- Amendments to SEBI (Disclosure and Investor Protection) Guidelines, 2000
- Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 2009
- Establishment of Connectivity with both depositories NSDL and CDSL - Companies eligible for shifting from TFTS to Normal Rolling Settlement
- Revised Position Limits for Exchange Traded Currency Derivatives
- Portfolio format for debt oriented close-ended and interval schemes/plans
- FII investments in Debt Securities
- Extension in time for compliance with Regulation 16(8) of SEBI Portfolio Managers Regulations
- Disclosure and Investor Protection Guidelines 2000 [updated upto Feb 24, 2009]
- Amendments to SEBI (Disclosure and Investor Protection) Guidelines, 2000
- Direct Market Access - Clarification
- Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) (Second Amendment) Regulations, 2009
- Review of Annual Issuers’ charges
- Allocation methodology of debt investment limits to FIIs
- Amendments to Clause 35 and Clause 41 of the Listing Agreement
- Formats for disclosures under regulation 8A(1), 8A(2), 8A(3) and 8A(4) of the Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) Regulations, 1997
- SEBI (Substantial Acquisition of Shares and Takeovers) (Amendment) Regulations, 2009
- Establishment of Connectivity with both depositories NSDL and CDSL - Companies eligible for shifting from Trade for Trade Settlement to normal Rolling Settlement
- Indicative Portfolios and Yields in Mutual Fund schemes
- Portfolio of Liquid Schemes and nomenclature of Liquid Plus schemes
- Revisions in submission of reports on two way fungibility of ADRs/GDRs
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