Tag Archives: SEBI FAQ’S

FAQS FOR MEMBERS OF COMMODITY DERIVATIVES EXCHANGES

FAQS ON COMMODITY DERIVATIVES EXCHANGES Q1. What are the registration requirements for existing members of commodity derivatives exchanges? Ans: Existing members of commodity derivatives exchanges are required to satisfy the registration related requirements of the exchange of which it holds membership, at the time of making an application for registration to SEBI. They can apply… Read More »

FAQ’S ON SECONDARY MARKET

SECONDARY MARKET  Disclaimer: These FAQs are not the interpretation of law but provide only a simplistic explanation of terms/concepts related to Secondary market. All information has been updated till February 28, 2009. For full particulars of laws governing the secondary market, please refer to the Acts/Regulations/Guidelines/Circulars appearing under the Legal Framework Section. Some of the… Read More »

STRAIGHT THROUGH PROCESSING QUESTIONS AND ANSWERS

STRAIGHT THROUGH PROCESSING  1. What is STRAIGHT THROUGH PROCESSING (STP )? Straight-through Processing (“STP”) is a mechanism that automates the end-to-end processing of transactions of the financial instruments. It involves use of a single system to process or control all elements of the work-flow of a financial transaction, including what is commonly known as the… Read More »

ACQUISITION OF SHARES AND TAKEOVERS REGULATIONS

SEBI (SUBSTANTIAL ACQUISITION OF SHARES AND TAKEOVERS) REGULATIONS, 2011  These FAQs offer only a simplistic explanation/clarification of terms/concepts related to the SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 [“SAST Regulations, 2011“]. Any such explanation/clarification that is provided herein should not be regarded as an interpretation of law nor be treated as a binding… Read More »

How to Read IPO and Offer Document

GUIDE TO UNDERSTAND IPO AND OFFER DOCUMENT This sub-section attempts to inform the structure of presentation of the content in an offer document. The basic objective is to help the reader to navigate through the content of an offer document. (a) Cover Page Under this head full contact details of the Issuer Company, lead managers… Read More »

FAQ’S ON FOREIGN PORTFOLIO INVESTORS

FREQUENTLY ASKED QUESTIONS (FAQs) ON SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014 [UPDATED AS ON 25-5-2015] Disclaimer: These FAQs are prepared with a view to guide market participants on SEBI (Foreign Portfolio Investors) Regulations, 2014 (“the Regulations”). For full particulars of laws governing the Foreign Portfolio Investors (FPI), please refer to the Acts/Regulations/Guidelines/Circulars etc. appearing under… Read More »