Investments & Personal Finance Notification & Circulars

Segregation and Monitoring of Collateral at Client Level – Extension of timeline

Notification No#Circular No. SEBI/HO/MRD2/DCAP/P/CIR/2021/667 23 November 2021

Securities and Exchange Board of India Circular No. SEBI/HO/MRD2/DCAP/P/CIR/2021/667 Dated: November 23, 2021 To All Recognized Clearing Corporations All Recognized Stock Exchanges Dear Sir/ Madam Segregation and Monitoring of Collateral at Client Level – Extension of ..

Posted in Investments & Personal Finance

Disclosure of Complaints against the Stock Exchanges (excluding Commodity Derivatives Exchanges)/Depositories/Clearing Corporations

Notification No#SEBI/HO/MRD1/MRD1_ICC1/P/CIR/2021/664 23 November 2021

Securities and Exchange Board of India CIRCULAR SEBI/HO/MRD1/MRD1_ICC1/P/CIR/2021/664 November 23, 2021 To, The Managing Directors / Chief Executive Officers All Recognized Stock Exchanges (excluding Commodity Derivatives Exchanges)/Depositories/Clearing Corporations Dear Sir / M..

Posted in Investments & Personal Finance

SEBI Master Circular on Scheme of Arrangement

Notification No#SEBI/HO/CFD/DIL1/CIR/P/2021/0000000665 23 November 2021

Securities and Exchange Board of India MASTER CIRCULAR SEBI/HO/CFD/DIL1/CIR/P/2021/0000000665 November 23, 2021 To, All listed entities All the recognized Stock Exchanges Dear Sir / Madam, Master Circular on (i) Scheme of Arrangement by Listed Entities and (ii) Relaxation under..

Posted in Investments & Personal Finance

Disclosure obligations of listed entities in relation to Related Party Transactions

Notification No#SEBI/HO/CFD/CMD1/CIR/P/2021/662 22 November 2021

Securities and Exchange Board of India CIRCULAR SEBI/HO/CFD/CMD1/CIR/P/2021/662 November 22, 2021 To, All entities that have listed their specified securities All the Recognized Stock Exchanges Madam / Sir, Subject: Disclosure obligations of listed entities in relation to Relat..

Posted in Investments & Personal Finance

Clarifications regarding amendment to SEBI (Alternative Investment Funds) Regulations, 2012

Notification No#SEBI/HO/IMD/IMD-I/DOF6/P/CIR/2021/663 22 November 2021

Securities and Exchange Board of India CIRCULAR SEBI/HO/IMD/IMD-I/DOF6/P/CIR/2021/663 November 22, 2021 To, All Alternative Investment Funds (AIFs) Sir/ Madam, Sub: Clarifications regarding amendment to SEBI (Alternative Investment Funds) Regulations, 2012 1. Regulation..

Posted in Investments & Personal Finance

SEBI (Intermediaries) (Third Amendment) Regulations, 2021

Notification No#SEBI/LAD-NRO/GN/2021/59 17 November 2021

SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 17th November, 2021 SECURITIES AND EXCHANGE BOARD OF INDIA (INTERMEDIARIES) (THIRD AMENDMENT) REGULATIONS, 2021 No. SEBI/LAD-NRO/GN/2021/59. - In exercise of the powers conferred under Section 30 of the Securities and Exchan..

Posted in Investments & Personal Finance

SEBI Scheme of Arrangement by Listed Entities

Notification No#SEBI/HO/CFD/DIL2/CIR/P/2021/0000000657 16 November 2021

Securities and Exchange Board of India CIRCULAR SEBI/HO/CFD/DIL2/CIR/P/2021/0000000657 November 16, 2021 To All Recognized Stock Exchanges (except Commodity Exchanges) All Recognized Depositories Issuer Companies Merchant Bankers and Brokers registered with SEBI Registrars to an I..

Posted in Investments & Personal Finance

SEBI Framework for Regulatory Sandbox

Notification No#SEBI/HO/MIRSD/MIRSD_IT/P/CIR/2021/0000000658 16 November 2021

CIRCULAR SEBI/HO/MIRSD/MIRSD_IT/P/CIR/2021/0000000658 November 16, 2021 To All Recognized Stock Exchanges, Clearing Corporations and Depositories All Intermediaries Sir / Madam, Framework for Regulatory Sandbox 1. SEBI vide circular no. SEBI/HO/ITD/ITD/CIR/P/2021/575 dat..

Posted in Investments & Personal Finance

SEBI - Dealing in unregulated products by SEBI registered Investment Advisers

Notification No#Press Release No. 30/2021 21 October 2021

Securities and Exchange Board of India Press Release No. 30/2021 It has come to the notice of SEBI that some registered Investment Advisers are engaged in unregulated activity by providing platform for buying/selling/dealing in unregulated products including digital gold. Undertaking such u..

Posted in Investments & Personal Finance

Minimum percentage of trades carried out by mutual funds through RFQ platform

Notification No#SEBI/HO/IMD/IMD-II DOF3/P/CIR/2021/641 06 October 2021

Securities and Exchange of India CIRCULAR SEBI/HO/IMD/IMD-II DOF3/P/CIR/2021/641 October 6, 2021 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: Mini..

Posted in Investments & Personal Finance