Broker dealers incorporated in IFSC are permitted to access exchanges outside IFSC.

The broker-dealers play a significant role in development of the capital market ecosystem, particularly retail participation. The Expert Committee Report on IFSC International Retail Business Development had recommended that the broker dealers in the IFSC …

SEBI Investor Charter for RTAs

All registered Merchant Bankers are hereby advised to disseminate the Investor Charter on their websites/through e-mail and to displaying the Investor charter at prominent places in offices.

SEBI Investor Charter to provide investors relevant information about the primary market issuances in the debt market

All registered Merchant Bankers are hereby advised to disclose on their websites, the Investor Charter for Public issue of debt securities, Public issue of non-convertible redeemable preference shares and Private placement of debt securities and …

Norms for Silver Exchange Traded Funds(Silver ETFs) and Gold Exchange Traded Funds (Gold ETFs)

A Silver ETF Scheme shall invest at least 95% of the net assets of the scheme in Silver or Silver related instruments.

Investor Education and Protection Fund Authority (Accounting, Audit, Transfer and Refund) Second Amendment Rules, 2021

The amendment provides that to reduce the compliance burden related to filing of supporting documents such as succession certificate/will/letter of administration or Decree etc. to effect transmission of securities held in physical / DEMAT mode, …

Common and simplified norms for Registrars to an Issue and Share Transfer Agents

SEBI, as an on-going measure to enhance the ease of doing business for investors in the securities market, has issued Common and simplified norms for Registrars to an Issue and Share Transfer Agents(RTAs).

SEBI clarification regarding activities related to unregulated product by Debenture Trustees

Any dealing in activities related to unregulated product by Debenture Trustees may entail action as deemed appropriate under the SEBI Act, 1992 and regulations framed thereunder.

SEBI clarifies Modalities for filing of placement memorandum through a Merchant Banker

While filing draft placement memorandum at the time of registration or prior to launch of new scheme on the SEBI intermediary portal, the due diligence certificate provided by the Merchant Banker shall also be submitted, …

BSE clarification regarding RPT disclosures by listed banking companies

BSE circular dated 06/09/2021 required listed companies to file RPT only in XBRL mode from the half year ended 30/09/2021. The listed banking companies are excluded from this requirement for the half year ended 30/09/2021.

NSE clarification regarding submission of data towards monitoring of client funds under Enhanced Supervision guidelines

Members are directed that any FDRs created out of the client funds received by the members should be only for the purpose of placing with clearing corporation/clearing members. Members are also directed not to invest …

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