SEBI cautions investors not to invest in schemes offered by entities barred by SEBI from raising money or entities not registered with SEBI
SEBI UPDATE
SEBI cautions investors not to invest in schemes offered by entities barred by SEBI from raising money or entities not registered with SEBI from raising money or entities not registered with SEBI
Certain Collective Investment Scheme(s) (CIS) have come to the notice of SEBI, which were offered by entities not registered with SEBI nor offer document of such schemes have been filed with SEBI. Appropriate actions have been taken against such entities and its Directors and since January 01, 2011, SEBI has passed orders against certain entities and its Directors, carrying on unregistered CIS. As part of interim directions, SEBI inter-aliadirects the entities and its Directors to stop collecting further money under existing / new schemes, not to launch any new scheme or float any new companies/firm to raise fresh money, not to divert or alienate any assets or money collected. As part of final directions, SEBI directs winding up of unregistered schemes of the entities, repayments to investors and inter-alia also debars the entity and its Directors from accessing the Capital markets.
Investors and general public are hereby cautioned that other than "GIFT Collective Investment Management Company Limited" no other entity is registered with SEBI under the CIS Regulations. Further, investors are advised to bear the following cautionary checks before investing in a collective investment scheme:
- Whether the entity is registered with SEBI
- Whether the scheme (CIS) has filed an offer document with SEBI
- Subscription to CIS units is permitted only though a banking channel, no cash transactions are permitted
- No guaranteed or assured returns are permitted (at most, an indicative return may be stated in offer document)
If any of the following unregistered entity/ies (as per the list below) are found to be collecting / mobilizing money, investors are advised not to subscribe to such schemes and to report the same to SEBI and State authorities including Police authorities immediately, along with appropriate details / documents.
Recently Added Documents
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Sr. No.
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Category
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Particular of Documents
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1
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SEBI - Takeover
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Format for Disclosures under Regulation 29(1) of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011
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2
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SEBI - Takeover
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Format for Disclosures under Regulation 30(1) and 30(2) of SEBI (Substantial Acquisition of Shares & Takeovers) Regulations, 2011
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3
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SEBI - Takeover
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Format for Disclosures under Regulation 10(5) – Intimation to Stock Exchanges in respect of acquisition under regulation 10(4)(e) of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011
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4
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SEBI - Takeover
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Format for Disclosures under Regulation 10(5) – Intimation to Stock Exchanges in respect of acquisition under regulation 10(4)(f) of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011
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5
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SEBI - Takeover
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Format under Regulation 10(7) – Report to SEBI in respect of any acquisition made in reliance up on examination provided for in regulation 10(4)(a) and (b) of SEBI (SAST) Regulations, 2011
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6
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SEBI - Takeover
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Format under Regulation 10(7) – Report to SEBI in respect of any acquisition made in reliance up on exemption provided for in regulation 10(2) of SEBI (SAST) Regulations, 2011
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7
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SEBI - Takeover
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Format under Regulation 10(7) - Report to SEBI in respect of any acquisition made in reliance up on exemption provided for in regulation 10(3) and (4)(c) of SEBI (SAST) Regulations, 2011
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8
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SEBI - Takeover
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Format for Disclosures under Regulation 10(6) – Report to Stock Exchanges in respect of any acquisition made in reliance upon exemption provided for in Regulation 10 of SEBI (SAST) Regulations, 2011
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9
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SEBI - Takeover
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Format for Advertisement under Regulation 18 (7) in terms of SEBI (SAST) Regulations, 2011
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10
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SEBI - Takeover
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Format for Detailed Public Statement (DPS) to the Shareholders of the Target Company
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11
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SEBI - Takeover
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Format for Disclosure by acquirer for shares/ voting rights acquired during the offer period
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12
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SEBI - Takeover
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Format for Post Offer Advertisement
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13
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SEBI - Takeover
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Format for Post-Open Offer Report
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14
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SEBI - Takeover
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Format for Public Announcement
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15
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SEBI - Takeover
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Format for Recommendations of the Committee of Independent Directors (IDC) on the Open Offer to the Shareholders of the Target Company
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16
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SEBI - Takeover
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Report to SEBI in respect of any acquisition made in reliance up on exemption provided for in regulation 10(1)(d)(iii) of SEBI (SAST) Regulations, 2011
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17
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SEBI - Takeover
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Report to SEBI in respect of any acquisition made in reliance up on exemption provided for in regulation 10(1)(h) of SEBI (SAST) Regulations, 2011
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18
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SEBI – Listing Regulation
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Format for Voting Results
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19
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SEBI – Listing Regulation
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Format for Business Responsibility Report
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20
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SEBI – Listing Regulation
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Format for submitting the half yearly financial results by companies other than banks and NBFCs
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21
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SEBI – Listing Regulation
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Format for submitting the half yearly financial results by banks and NBFCs
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22
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SEBI – Listing Regulation
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Format for submitting the half yearly financial results by companies other than Banks and NBFCs eligible for alternative format
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23
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SEBI – Listing Regulation
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Format for the limited review report for companies other than banks and NBFCs
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24
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SEBI – Listing Regulation
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Format for the limited review report for Banks and NBFCs
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25
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Document - Resolution
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Shareholder Resolution - Increase in Managerial Remuneration
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26
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Document - Resolution
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Shareholder Resolution - Keeping of Statutory Registers and Records at a place other than Registered Office
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27
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Document - Resolution
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Shareholder Resolution - Sale of Investment in terms of Section 180(1)(a) of the Companies Act, 2013
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28
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Document – General Meeting
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Minutes of EGM - Sale of Investment in terms of Section 180(1)(a) of the Companies Act, 2013
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29
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Document – General Meeting
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Minutes of EGM - Increase in Managerial Remuneration of WTD / MD
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30
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Document – General Meeting
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Minutes of EGM - Keeping of Statutory Register, Returns and other documents at a place other than registered office of the Company
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