Investments & Personal Finance Notification & Circulars

Operational guidelines for Transfer and Dematerialization of re-lodged physical shares

Notification No#SEBI/HO/MIRSD/RTAMB/CIR/P/2020/236 02 December 2020

CIRCULAR SEBI/HO/MIRSD/RTAMB/CIR/P/2020/236 December 02, 2020 To All Listed Companies (through Stock Exchanges) All Registrars to an Issue & Share Transfer Agents (RTA) All Depositories All Recognized Stock Exchanges All Depository Participants (DP) Dear Sir/ Madam, Sub: Oper..

Posted in Investments & Personal Finance

Relaxation in timelines for compliance with regulatory requirements

Notification No#SEBI/HO/MIRSD/DOP/CIR/P/2020/235 01 December 2020

Securities and Exchange Board of India CIRCULAR SEBI/HO/MIRSD/DOP/CIR/P/2020/235 December 01, 2020 To, 1. All Recognised Stock Exchanges and Clearing Corporations (including those in International Financial Services Centres) 2. All Depositories 3. Trading members / Clearing Members ..

Posted in Investments & Personal Finance

Request for Interpretive Letter under Securities and Exchange Board of India (Informal Guidance) Scheme, 2003 relating to the Securities and Exchange Board of India (Mutual Funds), Regulations, 1996

Notification No#SEBI/H0/1MD/DF2/0W/P/2020/20589/1 27 November 2020

Securities and Exchange Board of India DEPUTY GENERAL MANAGER INVESTMENT MANAGEMENT DEPARTMENT SEBI/H0/1MD/DF2/0W/P/2020/20589/1 November 27, 2020 Ritesh Patel Head-Compliance, Legal, Risk & Company Secretary Unit No. 606, 6th Floor Windsor Bldg, Off CST Road, Kalina, Santacruz (E..

Posted in Investments & Personal Finance

Testing of software used in or related to Trading and Risk Management

Notification No#SEBI/HO/MRD1/DSAP/CIR/P/2020/234 24 November 2020

Securities and Exchange Broad of India CIRCULAR SEBI/HO/MRD1/DSAP/CIR/P/2020/234 November 24, 2020 All Recognised Stock Exchanges Dear Sir / Madam, Subject: Testing of software used in or related to Trading and Risk Management 1. SEBI vide Circulars CIR/MRD/DP/24/2013 dated..

Posted in Investments & Personal Finance

Introduction of UPI mechanism and Application through Online interface and Streamlining the process of Public issues of securities

Notification No#SEBI/HO/DDHS/CIR/P/2020/233 23 November 2020

Securities and Exchange Broad of India CIRCULAR SEBI/HO/DDHS/CIR/P/2020/233 November 23, 2020 To Recognised Stock Exchanges Registered Depositories National Payments Corporation of India Registered Depository Participants, Stock brokers, Merchant Bankers, Registrars to an Issue an..

Posted in Investments & Personal Finance

Non-compliance with provisions related to continuous disclosures

Notification No#SEBI/HO/DDHS/DDHS/CIR/P/2020/231 13 November 2020

Securities and Exchange Board of India CIRCULAR SEBI/HO/DDHS/DDHS/CIR/P/2020/231 November 13, 2020 To, All Recognized Stock Exchanges All Depositories All issuers of listed Non-Convertible Debt Securities and/or Non-Convertible Redeemable Preference Shares All Issuers of l..

Posted in Investments & Personal Finance

Norms regarding holding of liquid assets in open ended debt schemes & stress testing of open ended debt schemes

Notification No#SEBI/HO/IMD/DF3/CIR/P/2020/229 06 November 2020

Securities and Exchange Board of India CIRCULAR SEBI/HO/IMD/DF3/CIR/P/2020/229 November 06, 2020 All Mutual Funds/ Asset Management Companies (AMCs)/ Trustee Companies/Boards of Trustees of Mutual Funds/ Association of Mutual Funds in India (AMFI) Sir/ Madam, Subject: Norms rega..

Posted in Investments & Personal Finance

Introduction of “Flexi Cap Fund” as a new category under Equity Schemes

Notification No#SEBI/HO/IMD/DF3/CIR/P/2020/228 06 November 2020

CIRCULAR SEBI/HO/IMD/DF3/CIR/P/2020/228 November 06, 2020 All Mutual Funds (MFs)/ Asset Management Companies (AMCs)/ Trustee Companies/ Board of Trustees of Mutual Funds/ Association of Mutual Funds in India (AMFI) Sir / Madam, Subject: Introduction of “F..

Posted in Investments & Personal Finance

Outsourcing of activities, Business Continuity Plan (BCP) and Disaster Recovery (DR) and Cyber Security and Cyber Resilience framework – Limited Purpose Clearing Corporation (LPCC)

Notification No#SEBI/HO/MRD2/DCAP/CIR/P/227 06 November 2020

Securities and Exchange Board of India CIRCULAR SEBI/HO/MRD2/DCAP/CIR/P/227 November 06, 2020 To, All Recognized Stock Exchanges All Recognized Clearing Corporations Dear Sir / Madam, Sub: Outsourcing of activities, Business Continuity Plan (BCP) and Disaster Recovery (DR) and ..

Posted in Investments & Personal Finance

Investor Grievance Redressal Mechanism

Notification No#SEBI/HO/MIRSD/DOC/CIR/P/2020/226 06 November 2020

Securities and Exchange Board of India SEBI/HO/MIRSD/DOC/CIR/P/2020/226 November 06, 2020 To, The Managing Director/Executive Director, All Stock Exchanges Dear Madam/Sir, Subject: Investor Grievance Redressal Mechanism 1. In order to further strengthen the Investor Grievance R..

Posted in Investments & Personal Finance