Category Archives: SEBI

Section 178 of Finance Act 2018 : Commencement of this Part

By | April 1, 2018

Section 178 of Finance Act 2018 [Section 178 of Finance Act 2018 deals with Commencement of this Part and is covered in CHAPTER VIII MISCELLANEOUS] PART X AMENDMENTS TO THE SECURITIES AND EXCHANGE BOARD OF INDIA ACT, 1992 Commencement of this Part 178. The provisions of this Part shall come into force on such date as the Central… Read More »

Section 151 of Finance Act 2018 : Amendment of section 23G

By | April 1, 2018

Section 151 of Finance Act 2018 [Section 151 of Finance Act 2018 deals with Amendment of section 23G and is covered in CHAPTER VIII MISCELLANEOUS] Amendment of section 23G 151. In section 23G of the principal Act, after the words “periodical returns”, the words “or furnishes false, incorrect or incomplete periodical returns” shall be inserted. Finance Act 2018… Read More »

PWC and related firms bared from audit of listed companies for 2 years : SEBI

By | January 12, 2018

SEBI bars Price Waterhouse and related firms from audit of listed companies,  compliance of obligations of such cos. and intermediaries  Securities and Exchange Board of India (SEBI) on the basis of email received in 2009 from from Mr. B. Ramalinga Raju, had carried out an investigation into the affairs of Satyam Computer Services Limited (‘SCSL’).… Read More »

Disclose regulatory orders and arbitration on Websites – SEBI

By | March 18, 2017

CIRCULAR SEBI/HO/MRD/DRMNP/CIR/P/2017/24 March 16, 2017 To, All Recognised Clearing Corporations Dear Sir / Madam, Subject: Disclosures relating to regulatory orders and arbitration matters on websites of Clearing Corporations 1. In order to improve transparency in disclosing the regulatory orders and arbitration awards issued by clearing corporations, it has been decided that all regulatory orders i.e.… Read More »

Shri Ajay Tyagi takes charge as Chairman, SEBI

By | March 2, 2017

Securities and Exchange Board of India PR No. 15/2017 Shri Ajay Tyagi takes charge as Chairman, SEBI Shri Ajay Tyagi took charge as Chairman, Securities and Exchange Board of India, today. Prior to this, Shri Tyagi was Additional Secretary, Department of Economic Affairs, Ministry of Finance, Government of India, handling the portfolios of Capital Market… Read More »

Securitisation, Asset Reconstruction & Enforcement of Security Interests – 2017 Edition Book

By | February 22, 2017

Securitisation, Asset Reconstruction and Enforcement of Security Interests by Vinod Kothari A comprehensive commentary on Securitization Laws, dealing with the operational as well as the regulatory aspect of Securitization Laws arranged under broad themes. • It provides a section wise commentary on the Securitization, Asset Reconstruction and Enforcement of Security Interest Act, 2002 (SARFAESI). • Analyses… Read More »

Guide to SEBI – Capital Issues, Debentures & Listing – 2017 Edition Book

By | February 22, 2017

Guide to SEBI – Capital Issues, Debentures & Listing (Set of 2 Volumes)  by K Sekhar  Guide to SEBI, Capital Issues, Debentures and Listing is an encyclopedia on the conceptual, legal and procedural framework of the Indian capital market and securities laws, with complete coverage of the statutory provisions on the subject including rules, regulations,… Read More »

Investing in Stock Markets -Book- Generic Elective in Commerce (CBCS) (January 2017 Edition)

By | February 12, 2017

Investing in Stock Markets – Generic Elective in Commerce (CBCS) (January 2017 Edition) A Comprehensive, Authentic and well Illustrated book on”Investing in Stock Markets” Paper for Ability Enhancement Elective Course (AEEC) of B.Com. & Generic Elective in Commerce [Three Years (6-Semester)CBCS Programme of Central Universities Throughout India] Simple and lucid presentation of the concepts, procedures… Read More »

Comments invited on Public Issuance of Non-Convertible Debentures having credit rating below Investment Grade

By | January 6, 2017

Views/Suggestions solicited on SEBI Consultative Paper on Public Issuance of Non-Convertible Debentures having credit rating below Investment Grade SEBI has placed the Consultation paper on Public Issuance of Non-Convertible Debentures having credit rating below Investment Grade on its website for public comments. We enclose the Consultative Paper for ready reference and seek your views/suggestions on… Read More »

SEBI Alternative Investment Funds (Amendment) Regulations 2016.

By | January 6, 2017

THE GAZETTE OF INDIA EXTRAORDINARY PART – III – SECTION 4 PUBLISHED BY AUTHORITY NEW DELHI, JANUARY 04, 2017 SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 4th January, 2017 SECURITIES AND EXCHANGE BOARD OF INDIA (ALTERNATIVE INVESTMENT FUNDS) (AMENDMENT) REGULATIONS, 2016 No. SEBI/LAD/NRO/GN/2016-17/026.– In exercise of the powers conferred by subsection (1) of… Read More »

Compensation / profit sharing in Securities by Employees – Take prior approval : SEBI

By | January 5, 2017

SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 3rd January, 2017 SECURITIES AND EXCHANGE BOARD OF INDIA (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) (THIRD AMENDMENT) REGULATIONS, 2016 No. SEBI/LAD-NRO/GN/2016-17/025.─In exercise of the powers conferred by section 11, sub-section (2) of section 11A and section 30 of the Securities and Exchange Board of India Act, 1992… Read More »

SEBI Guidelines for participation of Eligible Foreign Investors & FPIs in IFSC

By | January 5, 2017

CIRCULAR IMD/HO/FPIC/CIR/P/ 2017/ 003 January 04, 2017 To, 1. All Stock Exchanges and Clearing Corporations in International Financial Services Centre (IFSC) 2. All Foreign Portfolio Investors (“FPIs”) through their Designated Depository Participants (“DDPs”)/ Custodian of Securities (“Custodians”). 3. All DDPs/ Custodian of Securities. 4. The Depositories (NSDL and CDSL) Sir/ Madam, SUBJECT: Guidelines for participation/functioning… Read More »

Position limits of Stock Brokers / FPIs / Mutual Funds for stock derivatives contracts

By | December 28, 2016

CIRCULAR SEBI/HO/MRD/DP/CIR/P/2016/143 December 27, 2016 To, All Stock Exchanges (except for Commodity Derivatives Exchanges). Dear Sir / Madam, Subject: Review of the position limits available to Stock Brokers / Foreign Portfolio Investors (FPIs) – Category I & II / Mutual Funds (MFs) for stock derivatives contracts The position limits for Trading Member / Foreign Institutional… Read More »

Disclosure of financial information in offer document for REITs

By | December 27, 2016

Securities and Exchange Board of India CIR/IMD/DF/141/2016 December 26, 2016 To All Real Estate Investment Trusts (REITs) All Parties to REITs All Stock Exchanges All Merchant Bankers Dear Sir / Madam, Sub: Disclosure of financial information in offer document for REITs 1. Regulation 15 (2), read with Schedule III, of the SEBI (Real Estate Investment… Read More »