Securities & Exchange Board of India - 2023
- Transactions in corporate bonds through Request for Quote platform by Stock Brokers (SBs)
- Master Circular on Electronic Gold Receipts (EGR)
- Comprehensive guidelines for Investor Protection Fund and Investor Services Fund at Stock Exchanges and Depositories
- Model Tripartite Agreement between the Issuer Company, Existing Share Transfer Agent and New Share Transfer Agent as per Regulation 7(4) of SEBI (LODR) Regulation, 2015
- Revision in computation of Core Settlement Guarantee Fund in Commodity Derivatives Segment
- Dematerialization of securities of Hold Cos and SPVs held by Infrastructure Investment Trusts (InvITs)
- Dematerialization of securities of Hold Cos and SPVs held by Real Estate Investment Trusts (REITs)
- Master Circular for Mutual Funds
- Risk disclosure with respect to trading by individual traders in Equity Futures & Options Segment
- Master Circular for Registrars to an Issue and Share Transfer Agents
- Master Circular for Stock Brokers
- Investment in units of Mutual Funds in the name of minor through guardian
- Direct Market Access (DMA) to SEBI registered Foreign Portfolio Investors (FPIs) for participating in Exchange Traded Commodity Derivatives (ETCDs)
- Registration with the FINNET 2.0 system of Financial Intelligence Unit – India (FIU-India)
- Testing Framework for the Information Technology (IT) systems of the Market Infrastructure Institutions (MIIs)
- Additional requirements for the issuers of transition bonds
- Introduction of Legal Entity Identifier (LEI) for issuers who have listed and/ or propose to list non-convertible securities, securitised debt instruments and security receipts
- Master Circular for Custodians
- Procedure for implementation of Section 12A of the Weapons of Mass Destruction and their Delivery Systems (Prohibition of Unlawful Activities) Act, 2005 – Directions to stock exchanges and registered intermediaries
- Modifications in the requirement of filing of Offer Documents by Mutual Funds
- Bank Guarantees (BGs) created out of clients’ funds
- Procedure for seeking prior approval for change in control of Vault Managers
- Issue of Master Circular by Stock Exchanges, Clearing Corporations and Depositories
- Dispute Resolution Mechanism for Limited Purpose Clearing Corporation (LPCC)
- Contribution by eligible Issuers of debt securities to the Settlement Guarantee Fund of the Limited Purpose Clearing Corporation for repo transactions in debt securities
- Formulation of price bands for the first day of trading pursuant to Initial Public Offering (IPO), re-listing etc. in normal trading session
- Direct plan for schemes of Alternative Investment Funds (AIFs) and trail model for distribution commission in AIFs
- Guidelines with respect to excusing or excluding an investor from an investment of AIF
- Usage of brand name/trade name by Investment Advisers (IA) and Research Analysts (RA)
- Advertisement code for Investment Advisers (IA) and Research Analysts (RA)
- Operational Circular for Debenture Trustees
- Clarifications on Insider Trading - Comprehensive FAQs on SEBI (PIT) Regulations, 2015
- Extension of compliance period – Fund raising by large corporates through issuance of debt securities to the extent of 25% of their incremental borrowings in a financial year
- Cyber Security and Cyber Resilience framework for Portfolio Managers
- Review of time limit for disclosure of NAV of Mutual fund schemes investing overseas
- Nomination for Mutual Fund Unit Holders – Extension of timelines
- Norms for Scheme of Arrangement by unlisted Stock Exchanges, Clearing Corporations and Depositories
- Amendment to Securities Lending Scheme, 1997
- Nomination for Eligible Trading and Demat Accounts - Extension of timelines for existing account holders
- Streamlining the onboarding process of FPIs
- E-wallet investments in Mutual Funds
- Common and simplified norms for processing investor’s service requests by RTAs and norms for furnishing PAN, KYC details and Nomination
- Clarification with respect to Qualified RTAs
- Operational Guidance - Amendment to SEBI (Buy-back of Securities) Regulations, 2018
- Linking of PAN with Aadhaar to be done by March 31, 2023 [Press Release]
- Framework for Adoption of Cloud Services by SEBI Regulated Entities (REs)
- Advisory for SEBI Regulated Entities (REs) regarding Cybersecurity best practices
- Maintenance of a website by stock brokers and depository participants
- Introduction of Issue Summary Document (ISD) and dissemination of issue advertisements
- Clarification in respect of the compliance by the first-time issuers of debt securities under SEBI (Issue and Listing of Non-Convertible Securities) Regulations, 2021 with Regulation 23(6)
- Clarification w.r.t. issuance and listing of perpetual debt instruments, perpetual non-cumulative preference shares and similar instruments under Chapter V of the SEBI (Issue and Listing of Non-convertible Securities) Regulations, 2021
- Entities allowed to use e-KYC Aadhaar Authentication services of UIDAI in Securities Market as sub-KUA
- Grant of extension of time to entities operating/ desirous of operating as Online Bond Platform Providers (OBPPs) for making an application to obtain certificate of registration as a stock broker under the Securities and Exchange Board of India (Stock Brokers) Regulations, 1992
- Enhanced obligations and responsibilities on Qualified Stock Brokers (QSBs)
- Review of Chapter IX – Green Debt Securities of the Operational Circular for issue and listing of Non-Convertible Securities (NCS), Securitised Debt Instruments (SDI), Security Receipts (SR), Municipal Debt Securities and Commercial Paper (CP) dated August 10, 2021 (hereinafter referred to as the ‘NCS Operational Circular’), as amended from time to time
- Dos and don’ts relating to green debt securities to avoid occurrences of greenwashing
- Updated Operational Circular for Credit Rating Agencies
- Amendments to Operational Circular for Credit Rating Agencies
- Manner of achieving minimum public shareholding
- Amendments to Operational Circular for Credit Rating Agencies
- Transaction in Corporate Bonds through Request for Quote (RFQ) platform by Alternative Investment Funds (AIFs)
- Changes to the Framework to Enable Verification of Upfront Collection of Margins from Clients in Cash and Derivatives segments
- Facility of conducting meetings of unit holders of REITs through Video Conferencing or Other Audio-Visual means
- Facility of conducting meetings of unit holders of InvITs through Video Conferencing or Other Audio Visual means
- Participation of AIFs in Credit Default Swaps
- Allowing stock exchanges to launch multiple contracts on the same commodity in commodity derivatives segment
- Introduction of future contracts on Corporate Bond Indices
- Change in control of Portfolio Managers providing Co-investment services
- Comprehensive Framework on Offer for Sale (OFS) of Shares through Stock Exchange Mechanism
- Standard Operating Procedure for handling of Stock Exchange Outage and extension of trading hours thereof
- Mode of settlement for trades executed on the Request for Quote (RFQ) platform
- Operational Circular for Credit Rating Agencies
- Management and advisory services by AMCs to Foreign Portfolio Investors
- Extension of timelines for entering and verification of the details of the existing outstanding non-convertible securities in the ‘Security and Covenant Monitoring’ system hosted by Depositories
- Monitoring and Periodical reporting of the compliance with the requirements pertaining to ‘Security and Covenant Monitoring’ system hosted by Depositories
- Relaxation from compliance with certain provisions of the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015
- Limited relaxation – dispatch of physical copies of financial statements etc. – Regulation 58 of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015