Investments & Personal Finance Notification & Circulars
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 2013CIR/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 2013CIR/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 2013CIR/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 2013CIR/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 2013CIR/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 2013CIR/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..
Amendments to SEBI (Mutual Funds) Regulations, 1996
Notification No#CIR/IMD/DF/24/2012 19 November 2012CIRCULAR 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..
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 2012CIR/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..
Modification/ Change of name in the Beneficial Owner (BO) account
Notification No#CIR/MRD/DP/ 27 /2012 01 November 2012CIR/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 ..
Review of Regulatory Compliance and Periodic Reporting
Notification No#CIR/MIRSD/6/2012 14 May 2012CIR/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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