Safer participation of retail investors in Algorithmic trading
SEBI issued a circular aimed at enabling safer participation of retail investors in Algorithmic Trading (Algo trading). This new regulatory framework is a response to the growing demand for Algo trading by retail investors, which has been gaining momentum in recent years. The initiative not only aims to offer greater access to algorithmic tools but also puts in place critical safeguards to ensure the safety and integrity of market practices.
How to prepare audit report on digital assurance: Technical guide
The Securities and Exchange Board of India (SEBI) issued a draft circular inviting public comments on the “Management Statement and Auditor’s / Independent Practitioner’s Report on Digital Assurance based on Information Obtained from External Data Repositories.” This initiative, developed in collaboration with the Institute of Chartered Accountants of India (ICAI), aims to bolster financial reporting by incorporating digital assurance mechanisms.
New framework for rating market performance of MIIs
In order to ensure consistency in the manner of assessment and outcomes across Statutory Committees or similar MIIs, compare performance of such Committees and monitor trends over time, a rating framework has been developed which would be assigned after evaluation of Statutory Committees of MIIS. The rating would reflect the Independent External Agency’s judgment on the performance of the Statutory Committees of an MII in respect of expected outcomes.
Supervising Stock Brokers conduct: new monitoring mechanism
In its latest move, SEBI has introduced a technology-based mechanism to enhance the monitoring and supervision of system audits for stock brokers (SBs) and trading members (TMs).
How to ensure Safe Transfer of investment money: Public comments invited
It is envisaged to create a unique Unified Payments Interface address for collection of money by SEBI investor facing registered market participants/intermediaries Registered Intermediaries. This unique UPI address will help investors ensure that their payments are reaching only to SEBI registered intermediaries. As a corollary, this would also help investors identify, isolate and avoid unregistered entities, who will not have access to this unique UPI handle.
iSPOT – New Portal for Reporting Technical Glitches
The Securities and Exchange Board of India (SEBI) has taken a significant step towards streamlining the reporting and management of technical glitches in the securities market. On January 28, 2025, SEBI issued a circular announcing the launch of iSPOT (Integrated SEBI Portal for Technical Glitches). This web-based platform aims to enhance efficiency, transparency, and compliance in handling technical failures across Market Infrastructure Institutions (MIIs), which include stock exchanges, clearing corporations, and depositories.
Prohibited activities in the securities market: what to know
SEBI’s January 2025 circular reinforces its commitment to investor protection and market discipline. Market intermediaries and infrastructure institutions must proactively ensure compliance, as failure to do so could invite regulatory scrutiny and penalties. By fostering transparency and accountability, SEBI aims to create a safer and more reliable securities market for investors.
SEBI prescribes format of Due diligence certificate to be submitted by the DTs in case of secured and unsecured debt securities
At the time of filing the draft offer document with the stock exchanges, Issuer shall submit to the Stock Exchange, a due diligence certificate obtained from the Debenture Trustee as per the format specified.
SEBI launches ‘Dharohar – Milestones in the Indian Securities Market’ A Digital Knowledge Repository
Dharohar has been designed to document and showcase this rich heritage and evolution of the Indian securities market. The repository features a website, that also includes an interactive timeline of significant events and 3D galleries, offering an engaging experience to visitors.
SEBI Consultation Paper on Review of Framework for Social Stock Exchange
SEBI has issued a Consultation Paper on Review of Framework for Social Stock Exchange to seek comments/views/suggestions from the public and other stakeholders on various proposals of the Social Stock Exchange Advisory Committee (SSEAC) to review the framework for Social Stock Exchange.
