Investments & Personal Finance Notification & Circulars
Processing of investor complaints against listed companies in SEBI Complaints Redress System (SCORES)
Notification No#CIR/CFD/DIL/3/ 2012 13 April 2012CIR/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..
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 2012MIRSD/ 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..
Guidelines for Business Continuity Plan (BCP) and Disaster Recovery (DR)
Notification No#CIR/MRD/DMS/ 12 /2012 13 April 2012CIR/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)..
Allocation of debt limits to FIIs
Notification No#CIR/IMD/FIIC/10/2012 12 April 2012CIR/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..
Broad Guidelines on Algorithmic Trading
Notification No#CIR/MRD/DP/ 09 /2012 30 March 2012CIRCULAR CIR/MRD/DP/ 09 /2012 March 30, 2012 To All Stock Exchanges Sir / Ma’am, Sub: Broad Guidelines on Algorithmic Trading 1. It has been observed that adoption of technology for the purpose of trading in financial instruments has been on..
Exemptions from 100% promoter(s) holding in demat form
Notification No#SEBI/Cir/ISD/ 1 /2012 30 March 2012SEBI/Cir/ISD/ 1 /2012 March 30, 2012 To, All the Recognized Stock Exchanges, Dear Sir/Madam, Sub: Exemptions from 100% promoter(s) holding in demat form 1. This is further to SEBI circulars SEBI/Cir/ISD/3/2011 dated June 17, 2011 and SEBI/Cir..
Circular for Mutual Funds
Notification No#Cir/IMD/DF/7/2012 28 February 2012Cir/IMD/DF/7/2012 February 28, 2012 All Mutual Funds/ Asset Management Companies (AMCs) Sir/Madam, Sub: Circular for Mutual Funds A. Distributor Due Diligence 1. Please refer to SEBI circular no. SEBI/IMD/DF/13/2011 dated August 22, 2011 regarding the c..
Offer For Sale of Shares by Promoters through the Stock Exchange Mechanism -Clarification
Notification No#CIR/MRD/DP/ 8 /2012 27 February 2012CIR/MRD/DP/ 8 /2012 February 27, 2012 The Managing Director and CEO Bombay Stock Exchange Limited Phiroze Jeejeebhoy Towers Dalal Street Mumbai - 400001 The Managing Director ..
Standardized lot size for SME Exchange / Platform
Notification No#CIR/MRD/DSA/06/2012 21 February 2012CIR/MRD/DSA/06/2012 February 21, 2012 To Managing Director / Chief Executive Officer of Stock Exchanges and their Clearing Houses/Corporations Dear Sir/Madam, Sub: Standardized lot size for SME Exchange / Platform 1. SEBI vide circular dated May 18, ..
Investor Grievance Redressal Mechanism at Stock ExchangesInvestor Grievance Redressal Mechanism at Stock Exchanges
Notification No#CIR/MIRSD/2/2012 15 February 2012CIR/MIRSD/2/2012 February 15, 2012 All Recognized Stock Exchanges Dear Sirs, Subject: Investor Grievance Redressal Mechanism at Stock Exchanges. 1. Please refer to SEBI circular no. CIR/MRD/DSA/03/2012 dated January 20, 2012 and SEBI circular no. SMD/Policy/Cir-3..
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