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
