Investments & Personal Finance Notification & Circulars

Guidelines pertaining to Surrender of FPI Registration

Notification No#SEBI/HO/IMD/FPI&C/CIR/P/2021/045 30 March 2021

Securities and Exchange Board of India Circular No.: SEBI/HO/IMD/FPI&C/CIR/P/2021/045 March 30, 2021 To 1. Foreign Portfolio Investors (“FPIs”) 2. Designated Depository Participants (“DDPs”) and Custodians 3. The Depositories (NSDL and CDSL) 4. The Recognized..

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Combating Financing of Terrorism (CFT) under Unlawful Activities (Prevention) Act, 1967

Notification No#SEBI/HO/MIRSD/DOP/CIR/P/2021/36 25 March 2021

Securities and Exchange Board of India CIRCULAR SEBI/HO/MIRSD/DOP/CIR/P/2021/36 March 25, 2021 To, All Intermediaries Registered with SEBI under Section 12 of the Securities and Exchange Board of India Act, 1992 (Through the Stock Exchanges for Stock Brokers, Depositories for Depos..

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Transfer of shareholdings among immediate relatives and transmission of shareholdings and their effect on change in control

Notification No#SEBI/HO/MIRSD/DOR/CIR/P/2021/42 25 March 2021

Securities and Exchange Board of India CIRCULAR Circular No. SEBI/HO/MIRSD/DOR/CIR/P/2021/42 March 25, 2021 All Stock Brokers through exchanges All Depository Participants through Depositories All Merchant Bankers All Registrar to an Issue and Share Transfer Agent All Debenture Trust..

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SEBI Review of delivery default norms

Notification No#SEBI/HO/CDMRD/DRMP/CIR/P/2021/35 23 March 2021

Securities and Exchange Board of India CIRCULAR SEBI/HO/CDMRD/DRMP/CIR/P/2021/35 March 23, 2021 To The Managing Directors / Chief Executive Officers All Clearing Corporations having Commodity Derivatives Segment Sir / Madam, Sub: Review of delivery default norms 1. SEBI ..

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SEBI advises registered entities including MIIs to comply with TRAI’s TCCCP Regulations, 2018

Notification No#PR No. 14/2021 23 March 2021

Securities and Exchange Board of India PR No. 14/2021 SEBI advises registered entities including MIIs to comply with TRAI’s TCCCP Regulations, 2018 All SEBI registered entities including MIIs (which use bulk SMS for providing their services to the investors) are advised to ensure str..

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Clarification on the valuation of bonds issued under Basel III framework

Notification No#SEBI/HO/IMD/DF4/CIR/P/2021/034 22 March 2021

Securities and Exchange Board of India CIRCULAR SEBI/HO/IMD/DF4/CIR/P/2021/034 March 22, 2021 All Mutual Funds (MFs)/Asset Management Companies (AMCs)/ Trustee Companies/ Boards of Trustees of Mutual Funds/ Association of Mutual Funds in India (AMFI) Sir / Madam, Subject: Clarifi..

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Streamlining the process of IPOs with UPI in ASBA and redressal of investors grievances

Notification No#SEBI/HO/CFD/DIL2/CIR/P/2021/2480/1/M 16 March 2021

Securities and Exchange Board of India SEBI/HO/CFD/DIL2/CIR/P/2021/2480/1/M March 16, 2021 To Registered Merchant Bankers Recognized Stock Exchanges Registered Registrars to an Issue and Share Transfer Agents Self-Certified Syndicate Banks Dear Sir / Madam, Sub: Strea..

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SEBI (Investment Advisers) (Second Amendment) Regulations, 2021

Notification No#SEBI/LAD-NRO/GN/2021/11 16 March 2021

SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 16th March, 2021 SECURITIES AND EXCHANGE BOARD OF INDIA (INVESTMENT ADVISERS) (SECOND AMENDMENT) REGULATIONS, 2021 No. SEBI/LAD-NRO/GN/2021/11. - In exercise of the powers conferred by sub-section (1) of section 30 read with..

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SEBI (Portfolio Managers) (Amendment) Regulations, 2021

Notification No#SEBI/LAD-NRO/GN/2021/10 16 March 2021

SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 16th March, 2021 SECURITIES AND EXCHANGE BOARD OF INDIA (PORTFOLIO MANAGERS) (AMENDMENT) REGULATIONS, 2021 No. SEBI/LAD-NRO/GN/2021/10. - In exercise of the powers conferred by sub-section (1) of Section 30 read with su..

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SEBI (Research Analysts) (Amendment) Regulations, 2021

Notification No#SEBI/LAD-NRO/GN/2021/09 16 March 2021

SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 16th March, 2021 SECURITIES AND EXCHANGE BOARD OF INDIA (RESEARCH ANALYSTS) (AMENDMENT) REGULATIONS, 2021 No. SEBI/LAD-NRO/GN/2021/09. - In exercise of the powers conferred by sub-section (1) of section 30 read with cla..

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