Securities & Exchange Board of India - 2022
- Introduction of Investor Risk Reduction Access (IRRA) platform in case of disruption of trading services provided by the Trading Member (TM)
- Clarification to SEBI circular dated August 04, 2022 on enhanced guidelines for debenture trustees and listed issuer companies on security creation and initial due diligence
- Applicability of SEBI circular on Principles of Financial Market Infrastructures (PFMIs) to AMC Repo Clearing Limited
- Framework for Orderly Winding Down of Critical Operations and Services of a Clearing Corporation
- Performance Benchmarking and Reporting of Performance by Portfolio Managers
- Foreign investment in Alternative Investment Funds (AIFs)
- Clarification - Scheme(s) of Arrangement by entities who have listed their Non-convertible Debt securities (NCDs)/ Non-convertible Redeemable Preference shares (NCRPS) (‘debt listed entities’)
- Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) (Seventh Amendment) Regulations, 2022
- Updated Operational Circular for listing obligations and disclosure requirements for Non-convertible Securities, Securitized Debt Instruments and/ or Commercial Paper
– Modifications in Chapter IV and Introduction of Chapter XII on Scheme(s) of Arrangement by entities who have listed their NCDs/ NCRPS - Extension of timeline for implementation of Standardized Industry Classification by CRAs
- Inclusion of Equity Exchange Traded Funds as list of eligible securities under Margin Trading Facility
- Net Settlement of Cash segment and Futures & Options (F&O) segment upon expiry of stock derivatives
- Review of timelines for listing of securities issued on Private Placement basis – Chapter VII of the Operational Circular issued under SEBI (Issue and Listing of Non-Convertible Securities) Regulations, 2021
- Introduction of credit risk based single issuer limit for investment by mutual fund schemes in debt and money market instruments
- Procedure for seeking prior approval for change in control
- Framework to address the ‘technical glitches’ in Stock Brokers’ Electronic Trading Systems
- Extension of timelines for implementation of SEBI circulars SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2022/137 and SEBI/HO/MIRSD/ DoP/P/CIR/2022/119
- Timelines for transfer of dividend and redemption proceeds to unitholders
- Reporting of trades in Non-convertible Securities – Chapter XVI of Operational Circular issued under SEBI (Issue and Listing of Non-Convertible Securities) Regulations, 2021
- Issue of Green Debt Securities by an issuer under SEBI (Issue and Listing of Municipal Debt Securities) Regulations, 2015 - Disclosures and Compliance requirements
- Schemes of AIFs which have adopted priority in distribution among investors
- FAQs for Grant of Registration As Alternative Investment Fund (AIF)
- Scheme(s) of Arrangement by entities who have listed their Non-convertible Debt securities (NCDs)/ Non-convertible Redeemable Preference shares (NCRPS)
- Guidelines for AIFs for declaration of first close, calculation of tenure and change of sponsor/manager or change in control of sponsor/manager
- Registration and regulatory framework for Online Bond Platform Providers
- Handling of Clients’ Securities by Trading Members(TM) / Clearing Members (CM)
- Applicability of GST on fees remitted to SEBI - Revision in Chapter - XX of Operational Circular Operational Circular dated August 10, 2021
- Master Circular on issuance of No Objection Certificate (NOC) for release of 1% of Issue Amount
- Master Circular on the redressal of investor grievances through the SEBI Complaints Redress System (SCORES) platform
- Review of provisions pertaining to specifications related to International Securities Identification Number (ISIN) for debt securities issued on private placement basis – Modification to Chapter VIII of Operational Circular dated August 10, 2021
- Standardisation of Rating Scales Used by Credit Rating Agencies (CRAs)
- Addendum to SEBI Circular on Development of Passive Funds
- Reduction in denomination for debt securities and non-convertible redeemable preference shares
- Block Mechanism in demat account of clients undertaking sale transactions - Clarification
- Compilation of Informal Guidance Relating to SEBI (PIT) Regulations, 2015 for the Period Oct 2015 - Sept 2022
- Governing Council for Social Stock Exchange (“SSE”)
- Suspension, Cancellation or Surrender of Certificate of Registration of a Credit Rating Agency
- Review of provisions pertaining to Electronic Book Provider platform – Replacement of Chapter VI to Operational Circular dated August 10, 2022
- Execution of ‘Demat Debit and Pledge Instruction’ (DDPI) for transfer of securities towards deliveries / settlement obligations and pledging / re-pledging of securities - Clarification
- Extension of timeline for entering the details of the existing outstanding non-convertible securities in the ‘Security and Covenant Monitoring’ system hosted by Depositories
- SEBI cautions public against unauthorized money mobilization by entities claiming to provide Portfolio Management Services [Press Release]
- Two-Factor Authentication for transactions in units of Mutual Funds
- Circular for Portfolio Managers
- Amendment to guidelines and extension of timeline for implementation of Standardized industry classification by Credit Rating Agencies (CRAs)
- Participation of SEBI registered Foreign Portfolio Investors (FPIs) in Exchange Traded Commodity Derivatives in India
- Amendments to guidelines for preferential issue and institutional placement of units by a listed REIT
- Amendments to guidelines for preferential issue and institutional placement of units by a listed InvIT
- Credit Ratings supported by Credit Enhancement
- Modification in Daily Price Limits (DPL) for Commodity Futures Contracts
- Modification in the Operational Guidelines for FPIs, DDPs and EFIs pertaining to FPIs registered under Multiple Investment Managers (MIM) structure
- Modalities related to Investment Adviser applications [Press Release]
- Issue and listing of Commercial Paper by listed REITs
- Issue and listing of Commercial Paper by listed InvITs
- Firewall between Credit Rating Agencies and their Affiliates
- Framework on Social Stock Exchange
- Validation of Instructions for Pay-In of Securities from Client demat account to Trading Member Pool Account against obligations received from the Clearing Corporations
- Master Circular on Surveillance of Securities Market
- Frequently Asked Questions (FAQs) on the SEBI Settlement Scheme, 2022
- Public Notice in respect of SEBI Settlement Scheme, 2022
- Performance/return claimed by unregulated platforms offering algorithmic strategies for trading
- Circular for Portfolio Managers
- Corrigendum to Master Circular for Depositories dated February 05, 2021 on Opening of demat account in case of HUF
- Enhanced Disclosures by CRAs and Norms on Rating Withdrawal
- Disclosure requirement for Asset Management Companies (AMCs)
- Participation as Financial Information Providers in Account Aggregator framework
- Block Mechanism in demat account of clients undertaking sale transactions
- Guidelines for overseas investment by Alternative Investment Funds (AIFs) / Venture Capital Funds (VCFs)
- Trading Window closure period under Clause 4 of Schedule B read with Regulation 9 of SEBI (Prohibition of Insider Trading) Regulations, 2015 – Framework for restricting trading by Designated Persons by freezing PAN at security level
- Enhanced guidelines for debenture trustees and listed issuer companies on security creation and initial due diligence
- Framework for automated deactivation of trading and demat accounts in cases of inadequate KYCs
- Nomination for Mutual Fund Unit Holders – Extension of timelines
- LODR - Single Operational Circular for listing obligations and disclosure requirements for Non-convertible Securities, Securitized Debt Instruments and/ or Commercial Paper
- Addendum to SEBI Circular on Development of Passive Funds
- Settlement of Running Account of Client’s Funds lying with Trading Member (TM)
- Implementation of Circular on ‘Guidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011’
- Entities allowed to use e-KYC Aadhaar Authentication services of UIDAI in Securities Market as sub-KUA
- Levy of Goods & Services Tax (GST) on the fees payable to SEBI
- Modification in Cyber Security and Cyber resilience framework of Qualified Registrars to an Issue and Share Transfer Agents (QRTAs)
- Declaration of zero coupon zero principal instruments as securities under the Securities Contracts (Regulation) Act, 1956
- Modification in Cyber Security and Cyber resilience framework of KYC Registration Agencies (KRAs)
- Investor Grievance Redressal Mechanism and Amendment to SEBI Circular no. SEBI/HO/DMS/CIR/P/2017/15 dated February 23, 2017
- Disclosure of holding of specified securities and Holding of specified securities in dematerialized form
- Modification in Cyber Security and Cyber resilience framework for Stock Brokers / Depository Participants
- Implementation of Circular on ‘Execution of ‘Demat Debit and Pledge Instruction’ (DDPI) for transfer of securities towards deliveries / settlement obligations and pledging / re-pledging of securities’ - Extension
- Adjustment in derivative contracts for dividend announcements
- Guidelines for Large Value Fund for Accredited Investors under SEBI (Alternative Investment Funds) Regulations, 2012 and Requirement of Compliance Officer for Managers of all AIFs
- Implementation of Circular on ‘Guidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011’
- Reduction of timelines for listing of units of privately placed Infrastructure Investment Trust (InvIT)
- Introduction of Unified Payments Interface (UPI) mechanism for Infrastructure Investment Trusts (InvITs)
- Introduction of Unified Payments Interface (UPI) mechanism for Real Estate Investment Trusts (REITs)
- Modification in the Operational Guidelines for Foreign Portfolio Investors, Designated Depository Participants and Eligible Foreign Investors - Bank account details to which the payment is to be done electronically
- Naming / Tagging of demat accounts maintained by Stock Brokers
- Nomination for Mutual Fund Unit Holders
- Circular on Modification in Cyber Security and Cyber Resilience Framework of Mutual Funds/ Asset Management Companies (AMCs)
- Modification in Cyber Security and Cyber resilience framework for Stock Brokers / Depository Participants
- Extension of facility for conducting annual meeting and other meetings of unitholders of REITs and InvITs through Video Conferencing (VC) or through Other Audio-Visual means (OAVM)
- Investor Redressal Grievance Mechanism
- Procedure for seeking prior approval for change in control of Portfolio Managers
- Standard Operating Procedures (SOP) for dispute resolution under the Stock Exchange arbitration mechanism for disputes between a Listed Company and/or Registrars to an Issue and Share Transfer Agents (RTAs) and its Shareholder(s)/Investor(s)
- Processing of ASBA applications in Public Issue of Equity Shares and Convertibles
- Modification in Cyber Security and Cyber resilience framework of KYC Registration Agencies (KRAs)
- Modification in Cyber Security and Cyber resilience framework of Qualified Registrars to an Issue and Share Transfer Agents (“QRTAs”)
- Modification to Standard Operating Procedure in the cases of Trading Member / Clearing Member leading to default
- Simplification of procedure and standardization of formats of documents for issuance of duplicate securities certificates
- Circular on Development of Passive Funds
- Modification in Cyber Security and Cyber Resilience framework of Stock Exchanges, Clearing Corporations and Depositories
- Revised format of security cover certificate, monitoring and revision in timelines
- Streamlining the Process of Rights Issue
- Simplification of procedure and standardization of formats of documents for transmission of securities pursuant to amendments to the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015
- Relaxation from compliance with certain provisions of the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 – for entities with listed non-convertible securities
- Relaxation from compliance with certain provisions of the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015
- Changes to the Framework to Enable Verification of Upfront Collection of Margins from Clients in Cash and Derivatives segments
- System and Network Audit of Market Infrastructure Institutions (MIIs)
- Modification in the Operational Guidelines for Foreign Portfolio Investors, Designated Depository Participants and Eligible Foreign Investors - SEBI to generate FPI registration number and both the Depositories to host the CAF.
- Reduction of timelines for listing of units of Infrastructure Investment Trust (InvIT)
- Reduction of timelines for listing of units of Real Estate Investment Trust (REIT)
- Streamlining the process of public issues and redressal of investor grievances
- Updated Operational Circular for issue and listing of Non-convertible Securities, Securitised Debt Instruments, Security Receipts, Municipal Debt Securities and Commercial Paper - Modifications in Chapters I, II and XIV, Introduction of Chapter XIX on Investor Charter and Introduction of Chapter XX on payment of fees
- Comprehensive Risk Management Framework for Electronic Gold Receipts (EGR) segment
- Circular on Risk value of commodities for risk-o-meter
- Clarification on applicability of Regulation 23(4) read with Regulation 23(3)(e) of the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 in relation to Related Party Transactions
- Standard Operating Procedures (SOP) for dispute resolution available under the stock exchange arbitration mechanism for disputes between a listed company and its shareholder(s) investor(s)
- Guidelines in pursuance of amendment to SEBI KYC Registration Agency (KRA) Regulations, 2011
- Revision of UPI limits in Public Issue of Equity Shares and convertibles
- Execution of ‘Demat Debit and Pledge Instruction’ (DDPI) for transfer of securities towards deliveries / settlement obligations and pledging / re-pledging of securities
- Standardization of industry classification- Applicability to Credit Rating Agencies (CRAs)
- Standardisation of Ratings Scales Used by credit rating agencies - Extension of timeline for implementation
- Discontinuation of usage of pool accounts for transactions in the units of Mutual Funds, Two Factor Authentication (‘2FA’) for redemption and other related requirements: Extension of timeline
- Clarification on applicability of regulation 23 of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 in relation to Related Party Transactions
- Timelines for Rebalancing of Portfolios of Mutual Fund Schemes
- Operational guidelines for ‘Security and Covenant Monitoring’ using Distributed Ledger Technology (DLT)
- Circular on Calculation of investment concentration norm for Category III AIFs
- Circular on Product Specifications pertaining to EGR Segment in India
- Introduction of Options on Commodity Indices - Product Design and Risk Management Framework
- Change in control of Sponsor and/or Manager of Alternative Investment Fund involving scheme of arrangement under Companies Act, 2013
- Standardisation of industry classification - Revision in Chapter - XIV of Operational Circular for issue and listing of Non-convertible Securities, Securitised Debt Instruments, Security Receipts, Municipal Debt Securities and Commercial Paper
- Revision in Orders Per Second limit for algorithmic trading in Commodity Derivatives Segment of the Stock Exchange
- Discontinuation of usage of pool accounts for transactions in the units of Mutual Funds: Clarifications with respect to Circulars dated October 4, 2021
- Change in UPI limits - Revision to Operational Circular for issue and listing of Non-convertible Securities, Securitised Debt Instruments, Security Receipts, Municipal Debt Securities and Commercial Paper
- Automation of disclosure requirements under SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011-System Driven Disclosures - Ease of doing business.
- Extension to SEBI Circular on “Relaxation in adherence to prescribed timelines issued by SEBI due to Covid 19” dated April 13, 2020
- Swing pricing framework for mutual fund schemes – Extension of timeline
- Approach to securities market data access and terms of usage of data provided by data sources in Indian securities market
- Nomination for Eligible Trading and Demat Accounts – Extension of timelines and relaxations for existing account holders
- Segregation and Monitoring of Collateral at Client Level – Extension of timeline
- Corrigendum to Master Circular for Depositories dated February 05, 2021 on Opening of demat account in case of HUF
- Standard Operating Guidelines for the Vault Managers and Depositories - Electronic Gold Receipts (EGR) segment
- Trading features pertaining to the Electronic Gold Receipts (EGR) segment
- Circular on Audit Committee of Asset Management Companies (AMCs)
- Conversion of Private Unlisted InvIT into Private Listed InvIT
- Framework for conversion of Private Listed InvIT into Public InvIT
- Disclosures in the abridged prospectus and front cover page of the offer Document
- Circular on Guidelines on Accounting with respect to Indian Accounting Standards (IND AS)
- Schemes of Arrangement by Listed Entities
- Change in control of the asset management company involving scheme of arrangement under Companies Act, 2013
- Introduction of Special Situation Funds as a sub-category under Category I AIFs
- Issuance of Securities in dematerialized form in case of Investor Service Requests
- Notification of Electronic Gold Receipts as securities under SCRA 1956
- Framework for operationalizing the Gold Exchange in India
- Disclosure obligations of high value debt listed entities in relation to Related Party Transactions
- Increasing Awareness regarding Online Mechanisms for Investor Grievance Redressal
- Schemes of Arrangement by Listed Entities - Clarification w.r.t. timing of submission of NOC from the lending scheduled commercial banks/ financial institutions/ debenture trustee
- Options on Commodity Futures – Modification in Exercise Mechanism