KYC norms for ODI subscribers, transferability of ODIs, reporting of suspicious transactions, periodic review of systems and modified ODI reporting format


KYC norms for ODI subscribers, transferability of ODIs, reporting of suspicious transactions, periodic review of systems and modified ODI reporting format

In terms of the SEBI (Foreign Portfolio Investors) Regulation, 2014 (FPI Regulations) and circulars issued from time to time regarding ODI, the Foreign Portfolio Investors (FPIs) issuing ODIs (hereinafter referred to as ODI Issuers) are required to comply with the conditions for issuance of ODIs which may change from one ODI issuer to another. Therefore to bring uniformity / transparency, SEBI has decided that ODI Issuers shall be guided by the following provisions with regard to the norms relating to the issuance and transfer of ODIs:

  • Applicability of Indian KYC/AML norms for Client Due Diligence
  • KYC Review
  • Suspicious Transactions Report
  • Reporting of complete transfer trail of ODIs
  • Reconfirmation of ODI positions on a semi-annual basis
  • Periodic Operational Evaluation 

RECENTLY ADDED DOCUMENTS

Sr. No.

Category

Particular of Document

1

Board Meeting – Independent Director

Agenda of Separate Meeting of Independent Director

2

Board Meeting – Independent Director

Notice for calling of Separate Meeting of Independent Director

3

Board Meeting – Independent Director

Minutes of Separate Meeting of Independent Director

4

Format – Advertisement

Newspaper Advertisement for declaration of Interim Dividend

5

Format – Advertisement

Newspaper Advertisement for lost of Share Certificate

6

Format – Advertisement

Newspaper Notice for calling of Board Meeting by Listed Company

7

General Meeting – Notices

Notice for calling of Annual General Meeting through Electronic Mode

8

Format – Advertisement

Newspaper Advertisement for redemption of Preference Shares

9

Format – Affidavit

Undertaking by Foreign National in case of absence of PAN

10

General Meeting – Others

Requisition for calling Extraordinary General Meeting u/s 100

11

General Meeting – Others

Report on Annual General Meeting

12

Format – Private Placement

Share Application Form

13

Format – Private Placement

Debenture Application Form

14

Format – Transmission of Shares

Indemnity Bond for Transmission of Shares

15

Format – Transmission of Shares

Application of Transmission of Shares

16

SEBI – Listing Regulation

Format for Indian Depository Receipt (IDR) holding pattern

17

SEBI – Listing Regulation

Procedure/Guidelines for Two-way Fungibility of IDRs