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Fintech / Regtech
SEBI to Tighten Rules on Algo Trading Offered to Retail
By Editors | 26/09/2022
SEBI will scrutinise firms offering algorithmic trading services that claim high returns but cannot be audited or validated.
Securities / Derivatives
SEBI Issues Directions on Circulation of Market Rumours
By Editors | 18/09/2022
Intermediaries are required to prevent rumours and unverified information from being circulated via blogs, chat forums, and messenger sites.
Enforcement
SEBI Probes AIFs Over Non-transparent Practices – Report
By Editors | 15/09/2022
At least 20 alternative investment funds are under scrutiny for practices such as dividend stripping, priority payouts, and opaque valuation policies.
Securities / Derivatives
SEBI Enhances Disclosure Rules for Credit Rating Agencies
By Editors | 31/08/2022
The changes will enhance the transparency and usability of disclosures made by CRAs, SEBI said.
Securities / Derivatives
SEBI Loosens Overseas Investment Rules for AIFs, VC Funds
By Editors | 18/08/2022
Alternative investment and venture capital funds can invest in overseas companies even if they do not have an ‘Indian connection’.
Securities / Derivatives
SEBI Issues Framework to Curb Inadvertent Insider Trading
By Editors | 15/08/2022
Company insiders would have their trading automatically restricted while they are in possession of unpublished price sensitive information.
Securities / Derivatives
SEBI Amends Due Diligence Guidelines for Debenture Trustees
By Editors | 14/08/2022
The enhanced guidelines cover empanelment of external agencies for due diligence, conflicts of interest policy, and allow the creation of additional security post NCD listing.
AML / KYC
SEBI Issues Rules on Trading Account Deactivation for Inadequate KYC
By Editors | 09/08/2022
Trading or demat accounts will be automatically deactivated if a show-cause notice or order issued by SEBI is undeliverable at the addresses mentioned in KYC records.
Market Infrastructure
SEBI Forms Dedicated Committee to Advice on FPI Policy
By Editors | 09/08/2022
The committee will advise increasing FPI participation in Indian markets. FPIs are currently coping with a transition to T+1 settlement in the country.
ESG / Sustainability
SEBI Proposes Enhancements to Green Bond Framework
By Manesh Samtani | 08/08/2022
SEBI proposes to expand the framework to cover more of India’s commitments from COP26, introduce the concept of ‘blue bonds’, and enhance disclosures.
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