Posts Tagged With SEBI


FAQs for Investment in Mutual Fund and for Intermediaries

SEBI UPDATE

FAQs on Investments in Mutual Fund

SEBI has issued Frequently Asked Questions (FAQ) on Investments in Mutual Fund with an objective to make the investors aware of functioning of mutual funds and to provide information in question-answer format which may help the investors in taking investment decisions.

FAQs on Mutual Fund Intermediaries

SEBI has issued Frequently Asked Questions (FAQ) on...Continue Reading


Clarification by SEBI regarding Revenue recognition and Excise Duty Restrictions.

SEBI UPDATE

Clarification by SEBI regarding Revenue recognition and Excise Duty Restrictions.

SEBI had issued a circular dated November 30, 2015, wherein, it was prescribed that ‘revenue from operations’ may be disclosed net of excise duty.
 
Subsequently, as per Schedule III of the Companies Act, 2013, which was notified on April 6, 2016, revenue from sale of products should be disclosed...Continue Reading


Unique Client Code (UCC) and Mandatory requirement of Permanent Account Number (PAN)

SEBI UPDATE

Unique Client Code (UCC) and Mandatory requirement of Permanent Account Number (PAN)

It shall be mandatory for the members of the commodity derivatives exchanges to use Unique Client Code (UCC) for all clients transacting on the commodity derivatives exchanges. The commodity derivatives exchanges shall not allow execution of trades without uploading of the UCC details by the members of the exchange. 

PAN would be the sole...Continue Reading


Standardization and Simplification of Procedures for Transmission of Securities

SEBI UPDATE

Standardization and Simplification of Procedures for Transmission of Securities

With a view to make the process of transmission of securities more efficient and investor friendly, Securities and Exchange Board of India had issued a circular no. CIR/MIRSD/10/2013 dated October 28, 2013.

Pursuant to various investors requests and complaints from the investors with regard to the clarification of certain points...Continue Reading


Restrictions on Promoters and Whole-Time Directors of Compulsorily Delisted Companies Pending Fulfillment of Exit Offers to the Shareholders

RBI UPDATE

Restrictions on Promoters and Whole-Time Directors of Compulsorily Delisted Companies Pending Fulfillment of Exit Offers to the Shareholders

In order to ensure effective enforcement of exit option to the public shareholders in case of compulsory delisting, it is felt necessary to strengthen the regulatory mechanism in this regard. Accordingly, it is hereby directed that in case of such...Continue Reading


SEBI CAUTIONS INVESTORS

SEBI UPDATE

SEBI CAUTIONS INVESTORS

 A.     SCHEMES INVOLVE DISTRIBUTION OF PRIZE MONIES

It has come to the notice of SEBI that various entities are soliciting investors by offering leagues/schemes/competitions etc. related to securities markets. Some of the schemes may involve distribution of prize monies. Participation in such schemes including sharing of confidential and personal trading data is at...Continue Reading


SEBI signs a bilateral MOU with Abu Dhabi Global Markets Financial Services Regulatory Authority

SEBI UPDATE

SEBI signs a bilateral Memorandum of Understanding with Abu Dhabi Global Markets Financial Services Regulatory Authority

Securities and Exchange Board of India (SEBI) and The Abu Dhabi Global Market (ADGM) Financial Services Regulatory Authority (FSRA) have entered into a bilateral Memorandum of Understanding (MoU) for mutual cooperation and technical assistance.

The bilateral MoU provides a...Continue Reading


FAQs) on SEBI (Alternative Investment Funds) Regulations, 2012

SEBI UPDATE

FAQs on SEBI (Alternative Investment Funds) Regulations, 2012

SEBI has issued Frequently Asked Questions (FAQs) on SEBI (Alternative Investment Funds) Regulations, 2012 with a view to guide market participants on SEBI (Alternative Investment Funds) Regulations, 2012

For full particulars of laws governing the AIFs, please refer to the Acts/Regulations/Guidelines/Circulars etc. appearing under the Legal...Continue Reading


Revised Formats for Financial Results and Implementation of Ind AS by listed entities which have listed their debt securities and/or non-cumulative redeemable preference shares

SEBI UPDATE

Revised Formats for Financial Results and Implementation of Ind AS by listed entities which have listed their debt securities and/or non-cumulative redeemable preference shares

SEBI has prescribed the revised format for disclosure of Financial Results and Implementation of Ind AS by listed entities which have listed their debt securities and/or non-cumulative redeemable preference shares

The existing...Continue Reading


SEBI introduces e-payment facility for payment of penalties, disgorgement amounts, etc

SEBI UPDATE

SEBI introduces e-payment facility for payment of penalties, disgorgement amounts, etc

In order to enable ease of paying penalties, disgorgement amounts, settlement amounts, legal charges and recovery amounts, SEBI has introduced an option for e-payment of such amounts which may directly be remitted to SEBI Account at their given account number.