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Investments & Personal Finance Notification & Circulars


Companies exclusively listed on De-recognized/Non-operational Stock Exchanges

 Notification No#CIR/MRD/DSA/18/2014     22 May 2014

CIRCULAR    CIR/MRD/DSA/18/2014 May 22, 2014    To    The Managing Directors/Chief Executive Officers/  Officiating Executive Directors of All the Stock Exchanges    Dear Sir/Madam,    Sub: Companies exclusively listed on De-recogni..


Revised guidelines for Liquidity Enhancement Scheme in the Equity Cash and Equity Derivatives Segments

 Notification No#CIR/MRD/DP/14/2014      23 April 2014

CIR/MRD/DP/14/2014 April 23, 2014   To   All Stock Exchanges   Dear Sir / Madam,   Sub: Revised guidelines for Liquidity Enhancement Scheme in the Equity Cash and Equity Derivatives Segments   1. SEBI vide circular CIR/DNPD/5/2011 dated June..


Corporate Governance in listed entities - Amendments to Clauses 35B and 49 of the Equity Listing Agreement

 Notification No#CIR/CFD/POLICY CELL/2/2014     17 April 2014

CIR/CFD/POLICY CELL/2/2014 April 17, 2014   To All Recognised Stock Exchanges     Dear Sir(s)/Madam(s),   Sub: Corporate Governance in listed entities - Amendments to Clauses 35B and 49 of the Equity Listing Agreement   1. Please refer to ma..


Compliance with the provisions of Equity Listing Agreement by listed companies – Monitoring by Stock Exchanges

 Notification No#CIR/CFD/POLICYCELL/13/2013     18 November 2013

CIR/CFD/POLICYCELL/13/2013   November 18, 2013     To   All Recognised Stock Exchanges   Dear Sir(s)/Madam(s),   Sub: Compliance with the provisions of Equity Listing Agreement by listed companies – Monitoring by Stock Exchanges ..


Guidelines for dealing with Conflict of Interest for investment/ trading by CRAs, Access Persons and other employees

 Notification No#CIR/MIRSD/6/2013     28 August 2013

CIR/MIRSD/6/2013   August 28, 2013   To All Credit Rating Agencies (CRAs) registered with SEBI   Sub: Guidelines for dealing with Conflict of Interest for investment/ trading by CRAs, Access Persons and other employees   1. SEBI (Credit Rati..


General Guidelines for dealing with Conflicts of Interest of Intermediaries, Recognised Stock Exchanges, Recognised Clearing Corporations, Depositories and their Associated Persons in Securities Marke

 Notification No#CIR/MIRSD/5/2013     27 August 2013

CIR/MIRSD/5/2013   August 27, 2013   To Registered Intermediaries Recognised Stock Exchanges Recognised Clearing Corporations Depositories   Sir/ Madam,   Sub: General Guidelines for dealing with Conflicts of Interest of Intermed..


Revised Position Limits for Exchange Traded Currency Derivatives

 Notification No#CIR/MRD/DP/ 22 /2013     08 July 2013

CIR/MRD/DP/ 22 /2013 July 08, 2013   To All Stock Exchanges. Dear Sir/Madam,   Sub: Revised Position Limits for Exchange Traded Currency Derivatives   1. This is in partial modification of SEBI Circular No. SEBI/DNPD/Cir-38/2008 dated August 6, ..


Product Labeling in Mutual Funds

 Notification No#CIR/IMD/DF/5/2013     18 March 2013

  CIR/IMD/DF/5/2013 March 18, 2013   All Mutual Funds/Asset Management Companies (AMCs)/ Trustee Companies/Boards of Trustees of Mutual Funds/   Sir/ Madam,   Sub: Product Labeling in Mutual Funds   1. In order to address the is..


Arbitration Mechanism through Stock Exchanges - Introduction of Automatic Process and Common Pool of arbitrators

 Notification No#CIR/MRD/ICC/ 8 /2013     18 March 2013

  CIR/MRD/ICC/ 8 /2013 March 18, 2013   All Stock Exchanges having nation-wide trading terminals Dear Madam/Sir,   Sub: Arbitration Mechanism through Stock Exchanges - Introduction of Automatic Process and Common Pool of arbitrators.   SEBI ..


Rationalisation process for obtaining PAN by Investors

 Notification No#CIR/MIRSD/01 /2013     04 January 2013

  CIR/MIRSD/01 /2013 January 04, 2013   1. All Recognized Stock Exchanges 2. Stock Brokers through Recognized Stock Exchanges 3. Depository Participants through Depositories 4. Mutual funds 5. Association of Mutual Funds in India 6. Portfolio Managers..





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