SEBI: Contribution to Settlement Guarantee Fund
SEBI Update - April 11, 2023
Guidelines with respect to excusing or excluding an investor from an investment of AIF
SEBI FAQs on Insider Trading Regulations
Clarifications on Insider Trading - Comprehensive FAQs on SEBI (PIT) Regulations, 2015
Securities & Exchange Board of India - 2022
- SEBI (Prohibition of Insider Trading) (Amendment) Regulations, 2022
- SEBI (Mutual Funds) (Third Amendment) Regulations, 2022
- SEBI (Alternative Investment Funds) (Fourth Amendment) Regulations, 2022
- Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) (Second Amendment) Regulations, 2022
- SEBI (Listing Obligations and Disclosure Requirements) (Sixth Amendment) Regulations, 2022
- SEBI (Issue and Listing of Non-Convertible Securities) (Second Amendment) Regulations, 2022
- SEBI (Real Estate Investment Trusts) (Amendment) Regulations, 2022
- SEBI (Infrastructure Investment Trusts) (Second Amendment) Regulations, 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
Securities & Exchange Board of India - 2023
Click here for Master Circulars / Regulations / Rules
- Settlement of Running Account of Client’s Funds lying with Trading Member (TM)
- Framework on Social Stock Exchange
- Modifications to provisions of Chapter XXI of NCS Master Circular dealing with registration and regulatory framework for Online Bond Platform Providers (OBPPs)
- Extension of timelines for providing ‘choice of nomination’ in eligible demat accounts and mutual fund folios
- Business Continuity for Clearing Corporations through Software as a Service (SaaS) Model
- Amendment to Circular dated July 31, 2023 on Online Resolution of Disputes in the Indian Securities Market
- Principles of Financial Market Infrastructures (PFMIs)
- Simplification of requirements for grant of accreditation to investors
- Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)
- Credit of units of AIFs in dematerialised form
- Revised framework for computation of Net Distributable Cash Flow (NDCF) by Infrastructure Investment Trusts (InvITs)
- Revised framework for computation of Net Distributable Cash Flow (NDCF) by Real Estate Investment Trusts (REITs)
- Extension of timeline for implementation of provisions of circular SEBI/HO/OIAE/IGRD/CIR/P/2023/156 dated September 20, 2023 on Redressal of investor grievances through the SEBI Complaint Redressal (SCORES) Platform and linking it to Online Dispute Resolution platform
- Simplified norms for processing investor’s service requests by RTAs and norms for furnishing PAN, KYC details and nomination
- Most Important Terms and Conditions
- Procedural framework for dealing with unclaimed amounts lying with Real Estate Investment Trusts (REITs) and manner of claiming such amounts by unitholders
- Procedural framework for dealing with unclaimed amounts lying with Infrastructure Investment Trusts (InvITs) and manner of claiming such amounts by unitholders
- Procedural framework for dealing with unclaimed amounts lying with entities having listed non-convertible securities and manner of claiming such amounts by investors Mutual Fund
- Simplification and streamlining of Offer Documents of Mutual Fund Schemes
- Revision in manner of achieving minimum public unitholding requirement – Infrastructure Investment Trusts (InvITs)
- Guidelines for Business Continuity Plan (BCP) and Disaster Recovery (DR) of Qualified RTAs (QRTAs)
- Ease of doing business and development of corporate bond markets – Revision in the framework for fund raising by issuance of debt securities by large corporates
- Amendment to the Guidelines on Anti-Money Laundering (AML) Standards and Combating the Financing of Terrorism (CFT) /Obligations of Securities Market Intermediaries under the Prevention of Money-Laundering Act, 2002 and Rules framed there under
- Extension in timeline for compliance with qualification and experience requirements under Regulation 7(1) of SEBI (Investment Advisers) Regulations, 2013
- SEBI (Listing Obligations and Disclosure Requirements) (Fifth Amendment) Regulations, 2023
- SEBI (Investment Advisers) (Amendment) Regulations, 2023
- Relaxation from compliance with certain provisions of the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015
- Requirement of Base Minimum Capital Deposit for Category 2 Execution Only Platforms
- Limited relaxation from compliance with certain provisions of the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015
- Centralized mechanism for reporting the demise of an investor through KRAs
- Extension of timeline for verification of market rumours by listed entities
- Nomination for Mutual Fund Unit Holders – Extension of timelines
- Extension of timelines (i) for nomination in eligible demat accounts and (ii) for submission of PAN, Nomination and KYC details by physical security holders; and voluntary nomination for trading accounts
- SEBI (Listing Obligations and Disclosure Requirements) (Fourth Amendment) Regulations, 2023
- Redressal of investor grievances through the SEBI Complaint Redressal (SCORES) Platform and linking it to Online Dispute Resolution platform
- Regulatory Reporting by AIFs
- Board nomination rights to unitholders of Real Estate Investment Trusts (REITs)
- Board nomination rights to unitholders of Infrastructure Investment Trusts (InvITs)
- Clarification regarding investment of Mutual Fund schemes in units of Corporate Debt Market Development Fund
- Mechanism for Sharing of Information by Credit Rating Agencies (CRAs) to Debenture Trustees (DTs)
- Change in mode of payment w.r.t. SEBI Investor Protection and Education Fund Bank A/c
- New format of Abridged Prospectus for public issues of Non-Convertible Debt Securities and/or Non-convertible Redeemable Preference Shares
- Guidelines for MIIs regarding Cyber security and Cyber resilience
- Modification in Cyber Security and Cyber Resilience framework of Stock Exchanges, Clearing Corporations and Depositories
- Mandating additional disclosures by Foreign Portfolio Investors (FPIs) that fulfil certain objective criteria
- SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 1994
- SEBI (Listing Obligations and Disclosure Requirements) (Third Amendment) Regulations, 2023
- Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) (Third Amendment) Regulations, 2023
- SEBI (Depositories and Participants) (Second Amendment) Regulations, 2023
- SEBI (Facilitation of Grievance Redressal Mechanism) (Amendment) Regulations, 2023
- Simplification of KYC process and rationalisation of Risk Management Framework at KRAs
- Timeline for the Exit Option Window Period for Change in Control of AMC
- Procedure for seeking prior approval for change in control with respect to Merchant Bankers and Bankers to an Issue
- Reduction of timeline for listing of shares in Public Issue from existing T+6 days to T+3 days
- Facility to remedy erroneous transfers in demat accounts
- Transactions in Corporate Bonds through Request for Quote (RFQ) platform by FPIs
- Validity period of approval granted by SEBI to Alternative Investment Funds (AIFs) and Venture Capital Funds (VCFs) for overseas investment
- Corrigendum cum Amendment to Circular dated July 31, 2023 on Online Resolution of Disputes in the Indian Securities Market
- Offer for Sale framework for sale of units of Real Estate Investment Trusts (REITs) and Infrastructure Investment Trusts (InvITs)
- Audit of firm-level performance data of Portfolio Managers
- Trading Preferences by Clients - Applicability for commodity derivatives
- Online Resolution of Disputes in the Indian Securities Market
- Mandating Legal Entity Identifier (LEI) for all non – individual Foreign Portfolio Investors (FPIs)
- Investment by Mutual Fund Schemes and AMCs in units of Corporate Debt Market Development Fund
- Framework for Corporate Debt Market Development Fund (CDMDF)
- Commencement notification for certain provisions under the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 2023
- Resources for Trustees of Mutual Funds
- Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) (Second Amendment) Regulations, 2023
- SEBI (Stock Brokers) (Second Amendment) Regulations, 2023
- New category of Mutual Fund schemes for Environmental, Social and Governance (“ESG”) Investing and related disclosures by Mutual Funds
- Trading Window closure period – Extending framework for restricting trading by Designated Persons by freezing PAN at security level to all listed companies in a phased manner
- Disclosure of material events / information by listed entities under Regulations 30 and 30A of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015
- BRSR Core - Framework for assurance and ESG disclosures for value chain
- Regulatory Framework for Sponsors of a Mutual Fund
- Roles and responsibilities of Trustees and board of directors of Asset Management Companies (AMCs) of Mutual Funds
- Amendments to guidelines for preferential issue and institutional placement of units by a listed InvIT
- Amendments to guidelines for preferential issue and institutional placement of units by a listed REIT
- Appointment of Director nominated by the Debenture Trustee on boards of issuers
- SEBI (Issue and Listing of Non-Convertible Securities) (Second Amendment) Regulations, 2023
- SEBI (Credit Rating Agencies) (Amendment) Regulations, 2023
- SEBI (Alternative Dispute Resolution Mechanism) (Amendment) Regulations, 2023
- Implementation of circular on upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)
- Disclosure of Information on Issuers Not Cooperating (INC) with CRAs
- Manner of achieving minimum public unitholding - REITs
- Manner of achieving minimum public unitholding - InvITs
- Investor Service Centres of Stock Exchanges
- Format of Compliance Report on Governance for InvITs
- Format of Compliance Report on Governance for REITs
- Format for Annual Secretarial Compliance Report for REITs
- Format for Annual Secretarial Compliance Report for InvITs
- Trading Supported by Blocked Amount in Secondary Market
- Standardised approach to valuation of investment portfolio of Alternative Investment Funds (AIFs)
- Modalities for launching Liquidation Scheme and for distributing the investments of Alternative Investment Funds (AIFs) in-specie
- Issuance of units of AIFs in dematerialised form
- Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) (Second Amendment) Regulations, 2023
- SEBI (Stock Brokers) (Second Amendment) Regulations, 2023
- SEBI (Issue and Listing of Non-Convertible Securities) (Second Amendment) Regulations, 2023
- SEBI (Credit Rating Agencies) (Amendment) Regulations, 2023
- SEBI (Alternative Dispute Resolution Mechanism) (Amendment) Regulations, 2023
- SEBI (Mutual Funds) (Amendment) Regulations, 2023
- SEBI (Alternative Investment Funds) (Second Amendment) Regulations, 2023
- Securities and Exchange Board of India (Foreign Portfolio Investors) (Amendment) Regulations, 2023
- SEBI (Depositories and Participants) (Amendment) Regulations, 2023
- Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) (Amendment) Regulations, 2023
- Securities and Exchange Board of India (Infrastructure Investment Trusts) (Amendment) Regulations, 2023
- Securities and Exchange Board of India (Real Estate Investment Trusts) (Amendment) Regulations, 2023
- Securities and Exchange Board of India (Issue and Listing of Non-Convertible Securities) (Amendment) Regulations, 2023
- Circular - Trading Preferences by Clients
- Adherence to provisions of regulation 51A of SEBI (Issue and Listing of Non-Convertible Securities) Regulations, 2021 by Online Bond Platform Providers on product offerings on Online Bond Platforms
- Amendment to Guidelines on Anti-Money Laundering (AML) Standards and Combating the Financing of Terrorism (CFT) /Obligations of Securities Market Intermediaries under the Prevention of Money Laundering Act, 2002 and Rules framed there under
- SEBI (Listing Obligations and Disclosure Requirements) (Second Amendment) Regulations, 2023
- Amendment to Circular on issue of Certified copies of Orders and Circulars
- Corrigendum to Circular on Participation of Mutual funds in repo transactions on Corporate Debt Securities dated June 8, 2023
- Regulatory framework for Execution Only Platforms for facilitating transactions in direct plans of schemes of Mutual Funds
- Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)
- Participation of Mutual funds in repo transactions on Corporate Debt Securities
- Online processing of investor service requests and complaints by RTAs
- Transactions in corporate bonds through Request for Quote platform by Stock Brokers (SBs)
- Comprehensive guidelines for Investor Protection Fund and Investor Services Fund at Stock Exchanges and Depositories
- Model Tripartite Agreement between the Issuer Company, Existing Share Transfer Agent and New Share Transfer Agent as per Regulation 7(4) of SEBI (LODR) Regulation, 2015
- Revision in computation of Core Settlement Guarantee Fund in Commodity Derivatives Segment
- Dematerialization of securities of Hold Cos and SPVs held by Infrastructure Investment Trusts (InvITs)
- Dematerialization of securities of Hold Cos and SPVs held by Real Estate Investment Trusts (REITs)
- Risk disclosure with respect to trading by individual traders in Equity Futures & Options Segment
- Investment in units of Mutual Funds in the name of minor through guardian
- Direct Market Access (DMA) to SEBI registered Foreign Portfolio Investors (FPIs) for participating in Exchange Traded Commodity Derivatives (ETCDs)
- Registration with the FINNET 2.0 system of Financial Intelligence Unit – India (FIU-India)
- Testing Framework for the Information Technology (IT) systems of the Market Infrastructure Institutions (MIIs)
- Additional requirements for the issuers of transition bonds
- Introduction of Legal Entity Identifier (LEI) for issuers who have listed and/ or propose to list non-convertible securities, securitised debt instruments and security receipts
- Procedure for implementation of Section 12A of the Weapons of Mass Destruction and their Delivery Systems (Prohibition of Unlawful Activities) Act, 2005 – Directions to stock exchanges and registered intermediaries
- Modifications in the requirement of filing of Offer Documents by Mutual Funds
- Bank Guarantees (BGs) created out of clients’ funds
- Procedure for seeking prior approval for change in control of Vault Managers
- Dispute Resolution Mechanism for Limited Purpose Clearing Corporation (LPCC)
- Contribution by eligible Issuers of debt securities to the Settlement Guarantee Fund of the Limited Purpose Clearing Corporation for repo transactions in debt securities
- Formulation of price bands for the first day of trading pursuant to Initial Public Offering (IPO), re-listing etc. in normal trading session
- Direct plan for schemes of Alternative Investment Funds (AIFs) and trail model for distribution commission in AIFs
- Guidelines with respect to excusing or excluding an investor from an investment of AIF
- Usage of brand name/trade name by Investment Advisers (IA) and Research Analysts (RA)
- Advertisement code for Investment Advisers (IA) and Research Analysts (RA)
- Operational Circular for Debenture Trustees
- Clarifications on Insider Trading - Comprehensive FAQs on SEBI (PIT) Regulations, 2015
- Extension of compliance period – Fund raising by large corporates through issuance of debt securities to the extent of 25% of their incremental borrowings in a financial year
- Cyber Security and Cyber Resilience framework for Portfolio Managers
- Review of time limit for disclosure of NAV of Mutual fund schemes investing overseas
- Nomination for Mutual Fund Unit Holders – Extension of timelines
- Norms for Scheme of Arrangement by unlisted Stock Exchanges, Clearing Corporations and Depositories
- Amendment to Securities Lending Scheme, 1997
- Nomination for Eligible Trading and Demat Accounts - Extension of timelines for existing account holders
- Streamlining the onboarding process of FPIs
- E-wallet investments in Mutual Funds
- Common and simplified norms for processing investor’s service requests by RTAs and norms for furnishing PAN, KYC details and Nomination
- Clarification with respect to Qualified RTAs
- Operational Guidance - Amendment to SEBI (Buy-back of Securities) Regulations, 2018
- Linking of PAN with Aadhaar to be done by March 31, 2023 [Press Release]
- Framework for Adoption of Cloud Services by SEBI Regulated Entities (REs)
- Advisory for SEBI Regulated Entities (REs) regarding Cybersecurity best practices
- Maintenance of a website by stock brokers and depository participants
- Introduction of Issue Summary Document (ISD) and dissemination of issue advertisements
- Clarification in respect of the compliance by the first-time issuers of debt securities under SEBI (Issue and Listing of Non-Convertible Securities) Regulations, 2021 with Regulation 23(6)
- Clarification w.r.t. issuance and listing of perpetual debt instruments, perpetual non-cumulative preference shares and similar instruments under Chapter V of the SEBI (Issue and Listing of Non-convertible Securities) Regulations, 2021
- Entities allowed to use e-KYC Aadhaar Authentication services of UIDAI in Securities Market as sub-KUA
- Grant of extension of time to entities operating/ desirous of operating as Online Bond Platform Providers (OBPPs) for making an application to obtain certificate of registration as a stock broker under the Securities and Exchange Board of India (Stock Brokers) Regulations, 1992
- Enhanced obligations and responsibilities on Qualified Stock Brokers (QSBs)
- Review of Chapter IX – Green Debt Securities of the Operational Circular for issue and listing of Non-Convertible Securities (NCS), Securitised Debt Instruments (SDI), Security Receipts (SR), Municipal Debt Securities and Commercial Paper (CP) dated August 10, 2021 (hereinafter referred to as the ‘NCS Operational Circular’), as amended from time to time
- Dos and don’ts relating to green debt securities to avoid occurrences of greenwashing
- Updated Operational Circular for Credit Rating Agencies
- Amendments to Operational Circular for Credit Rating Agencies
- Manner of achieving minimum public shareholding
- Amendments to Operational Circular for Credit Rating Agencies
- Transaction in Corporate Bonds through Request for Quote (RFQ) platform by Alternative Investment Funds (AIFs)
- Changes to the Framework to Enable Verification of Upfront Collection of Margins from Clients in Cash and Derivatives segments
- Facility of conducting meetings of unit holders of REITs through Video Conferencing or Other Audio-Visual means
- Facility of conducting meetings of unit holders of InvITs through Video Conferencing or Other Audio Visual means
- Participation of AIFs in Credit Default Swaps
- Allowing stock exchanges to launch multiple contracts on the same commodity in commodity derivatives segment
- Introduction of future contracts on Corporate Bond Indices
- Change in control of Portfolio Managers providing Co-investment services
- Comprehensive Framework on Offer for Sale (OFS) of Shares through Stock Exchange Mechanism
- Standard Operating Procedure for handling of Stock Exchange Outage and extension of trading hours thereof
- Mode of settlement for trades executed on the Request for Quote (RFQ) platform
- Operational Circular for Credit Rating Agencies
- Management and advisory services by AMCs to Foreign Portfolio Investors
- Extension of timelines for entering and verification of the details of the existing outstanding non-convertible securities in the ‘Security and Covenant Monitoring’ system hosted by Depositories
- Monitoring and Periodical reporting of the compliance with the requirements pertaining to ‘Security and Covenant Monitoring’ system hosted by Depositories
- Relaxation from compliance with certain provisions of the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015
- Limited relaxation – dispatch of physical copies of financial statements etc. – Regulation 58 of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015
Securities & Exchange Board of India - 2021
- Notification under the Securities Contracts (Regulation) Act, 1956
- Extension of timeline for modified reporting requirements for AIFs
- Non-compliance with provisions related to continuous disclosures
- Restoration of relaxed timelines w.r.t. validity of observation letter pertaining to Mutual Funds
- 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)
- Investment Advisory Services for Accredited Investors
- Portfolio Management Services for Accredited Investors
- Revised Operational Circular for issue and listing of Non-convertible Securities, Securitised Debt Instruments, Security Receipts, Municipal Debt Securities and Commercial Paper
- Publishing of Investor Charter and Disclosure of Complaints by Custodians and DDPs on their websites
- Revision to Operational Circular for issue and listing of Non-convertible Securities, Securitised Debt Instruments, Security Receipts, Municipal Debt Securities and Commercial Paper
- Cut-off Time for generation of last Risk Parameter File (RPF) for client’s margin collection purpose and modification in framework to enable verification of upfront collection of margins from clients in commodity derivatives segment
- Publishing Investor Charter and Disclosure of Investor Complaints by Merchant Bankers on their Websites for private placement of units by InvITs proposed to be listed
- Clarifications with respect to Circular dated November 03, 2021, on ‘Common and simplified norms for processing investor’s service request by RTAs and norms for furnishing PAN, KYC details and Nomination’
- Publishing of Investor Charter and disclosure of Investor Complaints by Investment Advisers on their websites/mobile applications
- Publishing of Investor Charter and disclosure of Investor Complaints by Research Analysts on their websites/mobile applications
- Publishing of Investor Charter and disclosure of Investor Complaints by Portfolio Managers on their websites
- Circular on Investor Charter and disclosure of Investor Complaints by Mutual funds on their websites and AMFI website.
- Publishing Investor Charter and Disclosure of complaints by AIFs
- Circular on Mutual Funds
- Clarification regarding amendment to SEBI (Portfolio Managers) Regulations, 2020
- Transaction in Corporate Bonds through Request for Quote platform by Portfolio Management Services (PMS)
- Publishing Investor Charter and disclosure of Investor Complaints by Stock Brokers on their websites
- Publishing of Investor Charter and disclosure of complaints by Debenture Trustees (DTs) on their Websites
- Publishing Investor Charter and Disclosure of Investor Complaints by Merchant Bankers on their Websites for public offers by REITs and InvITs
- Publishing investor charter and disclosure of investor complaints by Merchant Bankers on their websites for private placements of Municipal debt securities
- Publishing Investor Charter and Disclosure of Complaints by Registrar and Share Transfer Agents (RTAs) on their Websites
- Publishing Investor Charter and Disclosure of Complaints by Merchant Bankers on their Websites – Debt Market
- Norms for Silver Exchange Traded Funds (Silver ETFs) and Gold Exchange Traded Funds (Gold ETFs)
- Disclosure of Complaints against the Stock Exchanges (excluding Commodity Derivatives Exchanges)/Depositories/Clearing Corporations
- Segregation and Monitoring of Collateral at Client Level – Extension of timeline
- Publishing Investor Charter and Disclosure of Complaints by Merchant Bankers on their Websites
- Non-compliance with certain provisions of SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018
- Disclosure obligations of listed entities in relation to Related Party Transactions
- Clarifications regarding amendment to SEBI (Alternative Investment Funds) Regulations, 2012
- Addendum to SEBI Circular dated November 16, 2021 relating to Schemes of Arrangement by Listed Entities
- Framework for Regulatory Sandbox
- Scheme of Arrangement by Listed Entities
- Write-off of debt securities held by FPIs who intend to surrender their registration
- Common and Simplified Norms for processing investor’s service request by RTAs and norms for furnishing PAN, KYC details and Nomination
- Investment/ trading in securities by employees and Board members of AMC(s) and Trustees of Mutual Funds
- Maintenance of current accounts in multiple banks by Stock Brokers
- Guiding Principles for bringing uniformity in Benchmarks of Mutual Fund Schemes
- Amendment to SEBI Circulars pertaining to Investor Grievance Redressal System and Arbitration Mechanism
- Amendment to SEBI Circular pertaining to Investor Protection Fund (IPF)/Investor Service Fund (ISF) and its related matters
- Modalities for filing of placement memorandum through a Merchant Banker under SEBI (Alternative Investment Funds) Regulations, 2012
- Transmission of Securities to Joint Holder(s)
- Streamlining of issuance of SCORES Authentication
- Revised Formats for Limited Review/ Audit Report for issuers of non-convertible securities
- Circular on Minimum percentage of trades carried out by mutual funds through RFQ platform
- Amendments to manner and mechanism of providing exit option to dissenting unit holders pursuant to Regulation 22(5C) and Regulation 22(7) of SEBI Infrastructure Investment Trusts Regulations, 2014 (“SEBI (InvIT) Regulations”)
- Amendments to manner and mechanism of providing exit option to dissenting unit holders pursuant to Regulation 22(6A) and Regulation 22(8) of SEBI (Real Estate Investment Trusts) Regulations, 2014 (“SEBI (REIT) Regulations”)
- Revised Formats for filing Financial information for issuers of non-convertible securities
- Disclosure of Complaints against the Stock Exchanges and the Clearing Corporations
- Discontinuation of usage of pool accounts for transactions in units of Mutual Funds on the Stock Exchange Platforms
- Circular on Mutual Funds
- Relaxations relating to procedural matters –Issues and Listing
- Guidelines for Investment Advisers - Extension of timelines
- Circular on Swing pricing framework for mutual fund schemes
- Risk Management Framework (RMF) for Mutual Funds
- Clarifications with respect to Circular dated April 28, 2021 on ‘Alignment of interest of Key Employees (‘Designated Employees’) of Asset Management Companies (AMCs) with the Unitholders of the Mutual Fund Schemes’
- Notification under Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007- NISM-Series-XXI-B: Portfolio Managers Certification Examination
- Notification under Securities and Exchange Board of India (Certification of Associated Persons in the Securities Markets) Regulations, 2007- NISM-Series-XXI-A: Portfolio Management Services (PMS) Distributors Certification Examination
- Introduction of T+1 rolling settlement on an optional basis
- Position Limits for Currency Derivatives Contracts
- Amendment to SEBI Circular SEBI/HO/DMS/CIR/P/2017/15 dated February 23, 2017 on Amendment pursuant to comprehensive review of Investor Grievance Redressal Mechanism
- Alignment of interest of Asset Management Companies (‘AMCs’) with the Unitholders of the Mutual Fund Schemes
- Revised guidelines for Liquidity Enhancement Scheme in the Equity Cash and Equity Derivatives Segments
- Disclosure of risk-o-meter of scheme, benchmark and portfolio details to the investors
- Extension of time for seeking membership of BSE Administration & Supervision Limited
- Circular on Modalities for implementation of the framework for Accredited Investors
- Penalty for Repeated Delivery Default
- ‘Security and Covenant Monitoring’ using Distributed Ledger Technology
- Tendering of shares in open offers, buybacks and delisting offers by marking lien in the demat account of the shareholders
- Automation of Continual Disclosures under Regulation 7(2) of SEBI (Prohibition of Insider Trading) Regulations, 2015 - System driven disclosures - Ease of doing business
- Disclosure of shareholding pattern of promoter(s) and promoter group entities
- Guidelines on issuance of non-convertible debt instruments along with warrants (‘NCDs with Warrants’) in terms of Chapter VI – Qualified Institutions Placement of SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018
- Operational Circular for issue and listing of Non-Convertible Securities (NCS), Securitised Debt Instruments (SDI), Security Receipts (SR), Municipal Debt Securities and Commercial Paper (CP)
- Calendar Spread margin benefit in commodity futures contracts
- Requirement of minimum number and holding of unit holders for unlisted Infrastructure Investment Trusts (InvITs)
- Maintenance of Current Accounts in multiple banks by Mutual Funds
- Modification in Operational Guidelines for FPIs and DDPs pursuant to amendment in SEBI (Foreign Portfolio Investors) Regulations, 2019
- Permitting non-scheduled Payments Banks to register as Bankers to an Issue
- Circular on Intra-day Net Asset Value (NAV) for transactions in units of Exchange Traded Funds directly with Asset Management Companies
- Deployment of unclaimed redemption and dividend amounts and Instant Access Facility in Overnight Funds
- Relaxation in timelines for compliance with regulatory requirements
- Circular on RTA inter-operable Platform for enhancing investors’ experience in Mutual Fund transactions / service requests
- Circular on Timelines related to processing of scheme related applications filed by AMCs
- Extension of time for holding the Annual General Meeting (AGM) by top 100 listed entities by market capitalization
- Nomination for Eligible Trading and Demat Accounts
- Continuous disclosures in compliances by REITs - Amendments
- Continuous disclosures in compliances by InvITs - Amendments
- Relaxation in timelines for compliance with regulatory requirements by Debenture Trustees due to Covid-19
- Segregation and Monitoring of Collateral at Client Level
- Introduction of Expected Loss (EL) based Rating Scale and Standardisation of Rating Scales Used by Credit Rating Agencies
- Block Mechanism in demat account of clients undertaking sale transactions
- Valuation of securities with multiple put options present ab-initio
- Review of Advance Intimation timelines for modifications in the contract specifications of commodity derivative contracts
- Standard Operating Procedure for listed subsidiary company desirous of getting delisted through a Scheme of Arrangement wherein the listed parent holding company and the listed subsidiary are in the same line of business
- Standard Operating Procedure for handling of technical glitches by Market Infrastructure Institutions (MIIs) and payment of “Financial Disincentives” thereof
- Issue of No Objection Certificate for release of 1% of Issue amount
- Relaxation in timelines for compliance with regulatory requirements
- Cross Margin in Commodity Index Futures and its underlying constituent futures or its variants
- Circular on Amendment to SEBI (Alternative Investment Funds) Regulations, 2012
- Alignment of interest of Key Employees of Asset Management Companies (AMCs) with the Unitholders of the Mutual Fund Schemes
- Circular on Prudential norms for liquidity risk management for open ended debt schemes
- Norms for investment and diclosure by Mutual Funds in Derivatives
- Framework for administration and supervision of Investment Advisers under the SEBI (Investment Advisers) Regulations, 2013
- Automation of Continual Disclosures under Regulation 7(2) of SEBI (Prohibition of Insider Trading) Regulations, 2015 - System Driven Disclosures for inclusion of listed Debt Securities
- Settlement of Running Account of Client’s Funds lying with Trading Member (TM)
- Relaxation from the requirement of minimum vesting period in case of death of employee(s) under SEBI (Share Based Employee Benefit) Regulations, 2014
- Revised Framework for Regulatory Sandbox
- Circular on Potential Risk Class Matrix for debt schemes based on Interest Rate Risk and Credit Risk
- Centralized Database for Corporate Bonds/ Debentures
- Circular on Enhancement of Overseas Investment Limits
- Streamlining the process of IPOs with UPI in ASBA and redressal of investors grievances
- 'Off-market’ transfer of securities by FPI
- Circular on Relaxation in compliance with requirements pertaining to AIFs and VCFs.
- Disclosure of the following only w.r.t schemes which are subscribed by the investor: a. risk-o-meter of the scheme and the benchmark along with the performance disclosure of the scheme vis-a-vis benchmark and b. Details of the portfolio
- Format of compliance report on Corporate Governance by Listed Entities
- Enhancement of overall limit for overseas investment by Alternative Investment Funds (AIFs)/Venture Capital Funds (VCFs)
- Relaxation from compliance to REITs and InvITs due to the CoVID -19 virus pandemic
- Notification under the Bilateral Netting of Qualified Financial Contract Act, 2020
- Procedure for seeking prior approval for change in control of SEBI registered Portfolio Managers
- Business responsibility and sustainability reporting by listed entities
- Relaxation in timelines for compliance with regulatory requirements by Debenture Trustees due to the CoVID-19 pandemic
- Timelines for updation of Scheme Information Document (SID) and Key Information Memorandum (KIM)
- Relaxation in timelines for compliance with regulatory requirements
- Addendum to SEBI Circular on “Relaxation in adherence to prescribed timelines issued by SEBI due to Covid 19” dated April 13, 2020
- Relaxation from compliance with certain provisions of the SEBI (Listing Obligations Disclosure Requirements) Regulations, 2015 / other applicable circulars due to the CoVID-19 pandemic
- Relaxation from compliance with certain provisions of the SEBI (Listing Obligations Disclosure Requirements) Regulations, 2015 due to the CoVID-19 pandemic
- Disclosure of the following only w.r.t schemes which are subscribed by the investor: (a) risk-o-meter of the scheme and the benchmark along with the performance disclosure of the scheme vis-à-vis benchmark and (b) Details of the portfolio
- Alignment of interest of Key Employees of Asset Management Companies (AMCs) with the Unitholders of the Mutual Fund Schemes
- Standardizing and Strengthening Policies on Provisional Rating by Credit Rating Agencies (CRAs) for Debt Instruments
- Relaxations relating to procedural matters –Issues and Listing
- Circular on Guidelines for warehousing norms for Agricultural and Agri-processed goods and non-agricultural goods (only base and industrial metals)
- Circular on Reporting Formats for Mutual Funds
- Circular on Regulatory Reporting by AIFs
- Setting up of Limited Purpose Clearing Corporation (LPCC) by Asset Management Companies (AMCs) of Mutual Funds
- Reduction in unblocking/refund of application money
- Circular on Guidelines pertaining to Surrender of FPI Registration
- Transfer of business by SEBI registered intermediaries to other legal entity
- Prior Approval for Change in control: Transfer of shareholdings among immediate relatives and transmission of shareholdings and their effect on change in control
- Combating Financing of Terrorism (CFT) under Unlawful Activities (Prevention) Act, 1967 – Directions to Stock Exchanges, Depositories and all registered intermediaries
- Review of Delivery Default Norms
- Clarification on the valuation of bonds issued under Basel III framework
- Guidelines for Business Continuity Plan (BCP) and Disaster Recovery (DR) of Market Infrastructure Institutions (MIIs)
- Streamlining the process of IPOs with UPI in ASBA and redressal of investors grievances
- Review of norms regarding investment in debt instruments with special features, and the valuation of perpetual bonds
- Rollout of Legal Entity Template
- Amendments to provisions in SEBI Circular dated September 16, 2016 on Unique Client Code (UCC) and mandatory requirement of Permanent Account Number (PAN)
- Circular on Guidelines for votes cast by Mutual Funds
- Circular on Mutual Funds
- Code of Conduct & Institutional mechanism for prevention of Fraud or Market Abuse
- Extension of facility for conducting meeting(s) of unitholders of REITs and InvITs through Video Conferencing (VC) or through other audio-visual means (OAVM)
- Pre-Expiry Margin on commodities under Alternate Risk Management Framework
- Revised disclosure formats under Regulation 7 of SEBI (Prohibition of Insider Trading) Regulations, 2015
- Revised Framework for Innovation Sandbox
- Setting up of Limited Purpose Clearing Corporation (LPCC) by Asset Management Companies (AMCs) of Mutual Funds
- Circular on Revision of Monthly Cumulative Report
- Relaxations relating to procedural matters – Issues and Listing
- Relaxation from compliance with certain provisions of the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 due to the CoVID -19 pandemic
- Norms for investment and disclosure by Mutual Funds in Exchange Traded Commodity Derivatives (“ETCDs”)
- Revision in Daily Price Limits (DPL) for Commodity Futures Contracts
- Review of Volatility Scan Range (VSR) for Option contracts in Commodity Derivatives Segment
- Amendment to Regulation 20(6) of SEBI (AIF) Regulations, 2012
- Monthly Reporting of Portfolio Managers
- Transfer of excess contribution made by Stock Exchanges from Core SGF of one Clearing Corporation to the Core SGF of another Clearing Corporation
- Refund of security deposit