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Market Infrastructure
SEBI Issues Guidelines for MIIs on Handling Disruptions
By Sanday Chongo Kabange | 24/03/2021
The new guidelines follow last month’s trading halt at the NSE. The exchange has submitted a root cause analysis to SEBI.
AML / KYC
SEBI Rolls Out KYC Registry Extension to Legal Entities
By Editors | 13/03/2021
Regulated entities are directed to upload KYC data for accounts of legal entities to the Central KYC Registry.
AML / KYC
SEBI Updates Rules on UCC, PAN Use in Commodity Derivatives
By Sanday Chongo Kabange | 09/03/2021
Execution of commodity derivatives trades will be prohibited without an upload of clients’ UCC details, which should be accompanied by the PAN or e-PAN.
Enforcement
SEBI Directs MIIs to Establish Controls to Prevent Market Abuse
By Editors | 08/03/2021
Stock exchanges, clearing corporations and depositories are asked to establish a code of conduct and institutional mechanism to prevent fraud and market abuse.
Securities / Derivatives
SEBI Issues Modified Guidelines for Mutual Fund Schemes
By Sanday Chongo Kabange | 07/03/2021
The cumulative gross exposure limit through equity, debt, derivative positions may not exceed 100% of the net assets of the mutual fund scheme.
AML / KYC
SEBI Consults on Creation of Accredited Investor Class
By Ranamita Chakraborty | 04/03/2021
SEBI says the new investor classification can help it to focus its regulatory resources on investors that need more protection and facilitate innovation in the securities market.
Securities / Derivatives
SEBI Drafts New Rules for Independent Directors of Listed Companies
By Editors | 02/03/2021
SEBI proposes to introduce a ‘dual approval’ system where appointments of independent directors must be approved by both majority and minority shareholders.
ESG / Sustainability
SEBI to Issue ESG Disclosure Guidelines for Listed Companies
By Editors | 02/03/2021
Chairman Ajay Tyagi said SEBI will issue new guidelines “soon”, with a view to achieving greater transparency and accountability from listed companies on ESG.
Market Infrastructure
SEBI, FinMin Order NSE to Explain Three Hour Trading Halt
By Editors | 25/02/2021
NSE had attributed the trading halt to issues with their links to two telecom service providers. An interim report is expected within 24 hours.
Market Infrastructure
SEBI Board Meeting: A Preview of Things to Come
By Editors | 21/02/2021
SEBI has relaxed its minimum public offer requirements just days after revealing a number of new initiatives in its annual report.
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