The Securities and Exchange Board of India (Portfolio Managers) (Second Amendment) Regulations, 2021.
The portfolio manager shall obtain prior approval of the Board in case of change in control in such manner as may be specified by the Board.
SEBI has issued relaxations for procedural requirements related to issues and listing
Registrar to the issue, shall ensure that all data with respect to refund instructions is error free to avoid any technical rejections. Further, in case of any technical rejection of refund instruction, same shall be addressed promptly.
NSE directs Trading members to submit their internal audit report by 31st May 2021.
All the Trading / clearing members to carry-out complete Internal Audit for the half year ended March 31, 2021 and submit the report electronically through the Inspection module in the Member Portal by 31st May 2021.
NSE directs trading members to carry out system audit of their trading facility
Submission of system audit report shall be considered complete only after trading member submits the report to the Exchange after providing management comments. Trading members shall comply with any non-compliance/ non-conformities (NCs) pending for system audit report for the previous audit period by submitting ATR and/or Follow-on audit report as the case may be through ENIT.
SEBI notifies Guidelines for warehousing norms for agricultural and non-agricultural goods.
The Clearing Corporation shall ensure that the WSP had obtained the required registrations of the proposed storage facility from WDRA for commodities notified by WDRA and for other commodities under applicable laws.
SEBI cautions investors against fraudsters impersonating as SEBI
Beware of emails / any other communication impersonating employees of SEBI and refrain from responding to such emails / communication. The only official and genuine website of SEBI, where an investor can file his/her complaint is https://scores.gov.in and members of public are advised to be careful and not get misled by fake websites with similar addresses, fake logos / similar looking domains and email ids, etc.
SEBI Circular on Reporting Formats for Asset Management companies
The AMC shall submit Quarterly Report to the trustees as per MF Regulations, on its activities and the compliance with MF Regulations and various circulars issued thereunder, and Complete compliance Test Report with effect from the quarter ending June, 2021.
SEBI issues circular on regulatory reporting by AIFs.
All AIFs shall submit a report on their activity as an AIF to SEBI on a quarterly basis within 10 calendar days from the end of each quarter in the revised formats.
SEBI modifies the framework for setting up of limited purpose clearing corporation by mutual fund.
SEBI has modified its framework pertaining to contribution of asset management companies (AMCs) for setting up of limited purpose clearing corporation by mutual funds.
Securities and Exchange Board of India (Underwriters) (Repeal) Regulations, 2021
The Securities and Exchange Board of India (Underwriters) Regulations, 1993 is repealed by this regulation and the certificate of registration granted to any person under the Securities and Exchange Board of India (Underwriters) Regulations, 1993 shall deemed to be surrendered.
