Investments & Personal Finance Notification & Circulars

Amendments to SEBI (Mutual Funds) Regulations, 1996

Notification No#CIR/IMD/DF/24/2012 19 November 2012

CIRCULAR CIR/IMD/DF/24/2012 November 19, 2012 All Mutual Funds/Asset Management Companies (AMCs)/ Trustee Companies/Boards of Trustees of Mutual Funds Sir/ Madam, Subject: Circular on Mutual Funds A. Amendments to SEBI (Mutual Funds..

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Establishment of Connectivity with both depositories NSDL and CDSL ? Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement

Notification No#CIR/MRD/DP/ 28 /2012 02 November 2012

CIR/MRD/DP/ 28 /2012 November 02, 2012 To, All Stock Exchanges Dear Sir / Madam, Sub: Establishment of Connectivity with both depositories NSDL and CDSL –Companies eligible for shifting from Trade for Trade Settlemen..

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Modification/ Change of name in the Beneficial Owner (BO) account

Notification No#CIR/MRD/DP/ 27 /2012 01 November 2012

CIR/MRD/DP/ 27 /2012 November 01, 2012 To, The Depositories, Dear Sir / Madam, Sub: Change of Name in the Beneficial Owner (BO) Account 1. In order to simplify the procedure of change of name in individual ..

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Review of Regulatory Compliance and Periodic Reporting

Notification No#CIR/MIRSD/6/2012 14 May 2012

CIR/MIRSD/6/2012 May 14, 2012 To All Merchant Bankers registered with SEBI Sir / Madam, Sub: Review of Regulatory Compliance and Periodic Reporting 1. SEBI (Merchant Bankers) Regulations, 1992 have been amended vide notification no. LAD-NRO/GN/20..

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Filing Offer Documents under SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009

Notification No#CIR/CFD/DIL/5/2012 03 May 2012

CIR/CFD/DIL/5/2012 May 3, 2012 To All Registered Merchant Bankers Dear Sir / Madam, Sub: Filing Offer Documents under SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009 1. Please refer to circular No. SEBI CIR/CFD/DIL/9/2010 dated..

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Amendments to the Equity Listing Agreement – Formats for Disclosure of Financial Results

Notification No#CIR/CFD/DIL/4/2012 16 April 2012

CIR/CFD/DIL/4/2012 April 16, 2012 To All Stock Exchanges Dear Sir/Madam, Sub: Amendments to the Equity Listing Agreement – Formats for Disclosure of Financial Results 1. Ministry of Corporate Affairs vide Notification dated February 28, ..

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Processing of investor complaints against listed companies in SEBI Complaints Redress System (SCORES)

Notification No#CIR/CFD/DIL/3/ 2012 13 April 2012

CIR/CFD/DIL/3/ 2012 April 13, 2012 To The Stock Exchanges Dear Sir/Madam Sub: Processing of investor complaints against listed companies in SEBI Complaints Redress System (SCORES) 1. SEBI has commenced processing of investor complaints in a centralized web..

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Uploading of the existing clients’ KYC details in the KYC Registration Agency (KRA) system by the intermediaries

Notification No#MIRSD/ Cir-5 /2012 13 April 2012

MIRSD/ Cir-5 /2012 April 13, 2012 SEBI Registered Intermediaries - KYC Registration Agencies (KRAs), Stock Brokers through Stock Exchanges, Depository Participants (DPs) through Depositories, Mutual Funds (MFs) Portfolio Managers (PMs) Venture Capital Funds (VC..

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Guidelines for Business Continuity Plan (BCP) and Disaster Recovery (DR)

Notification No#CIR/MRD/DMS/ 12 /2012 13 April 2012

CIR/MRD/DMS/ 12 /2012 April 13, 2012 To, All Stock Exchanges / All Depositories Dear Sir / Madam, Sub: Guidelines for Business Continuity Plan (BCP) and Disaster Recovery (DR)..

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Allocation of debt limits to FIIs

Notification No#CIR/IMD/FIIC/10/2012 12 April 2012

CIR/IMD/FIIC/10/2012 April 12, 2012 To All Foreign Institutional Investors through their designated Custodians of Securities Dear Sir/Madam Sub – Allocation of debt limits to FIIs 1. Based on the assessment of the utilization of the limits to..

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