Master Circular for Registrars to an Issue and Share Transfer Agents
The Registration number contained in the certificate of registration of STAs should be quoted in all the correspondence with SEBI, Government authorities, Stock Exchanges and its clients.
Consultation Paper on proposed review of the definition of Unpublished Price Sensitive Information (UPSI) under SEBI (Prohibition of Insider Trading) Regulations, 2015
SEBI, in its Board meeting held on March 29, 2023, has approved the proposal for review and rationalization of the disclosure of material events or information by the listed entities. The changes approved, inter-alia, also include introduction of quantitative thresholds for determining ‘materiality’ of events / information, disclosure for certain types of agreements binding listed entities, etc.
Consultation paper on draft SEBI (Prohibition of Unexplained Suspicious Trading Activities in the Securities Market) Regulations, 2023
It is proposed that a person or a group of connected persons, if found to be exhibiting UTP, in a security or a group of securities, where such UTP coincides with Material Non-Public Information in relation to that security or group of securities, such UTP will be deemed to be Suspicious Trading Activity.
Consultation paper on proposed amendment to SEBI (Alternative Investment Funds) Regulations, 2012 to strengthen governance mechanisms of Alternative Investment Funds
Consultation paper on proposed amendment to SEBI (Alternative Investment Funds) Regulations, 2012 to strengthen governance mechanisms of Alternative Investment Funds to seek comments and inputs from stakeholders and public on the following proposals for amendment to SEBI (Alternative Investment Funds) Regulations, 2012, with the objective of strengthening governance mechanisms of AIFs.
Consultation paper for streamlining regulatory framework for registration of Foreign Venture Capital Investors
SEBI has issued Consultation paper for streamlining regulatory framework for registration of Foreign Venture Capital Investors (FVCIs) to seek comments and inputs from stakeholders and members of public on streamlining the regulatory framework for registration of Foreign Venture Capital Investors (‘FVCIs’) under Securities and Exchange Board of India (Foreign Venture Capital Investor) Regulations, 2000 (‘FVCI Regulations’).
SEBI Consultation Paper on Review of Total Expense Ratio charged by Asset Management Companies (AMCs) to unitholders of schemes of Mutual Funds to facilitate greater transparency and accrual of benefits of economies of scale to investors
it is proposed to allow AMCs to obtain limited purpose membership with stock exchanges for executing trades for own mutual fund schemes. This would address the issue described in para 5.1.1.5.However, the choice of obtaining limited purpose membership should rest with AMCs and desirous AMCs may voluntarily undertake trading activities, which will enable them to reduce expenses towards brokerage and transaction cost. Further, exercising this choice of obtaining limited purpose membership shall help in preventing instances of misuse of information and market abuse including front running.
NSE facility of “Filtering Only Custodian participant (CP) Trades” in API Facility in NCMS FO
Members who already have access to live link can try using the additional facility and other clearing members who wish to access the Live URL are required to send a mail on “api_ncmsfo@nsccl.co.in”.
