SECURITIES AND EXCHANGE BOARD OF INDIA

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    Enforcement

    SEBI Seeks More Time to Complete Adani Group Probe

    By Editors | 04/05/2023

    The probe has made slow progress because of difficulties obtaining information from foreign regulators. Some foreign funds have also refused to identify their beneficial owners.

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    ESG / Sustainability

    An Unregulated ESG Rating System Reveals its Flaws

    By Hazel Ilango | 04/05/2023

    ESG ratings are instrumental in facilitating investment decisions, but can disrupt the stability of financial markets if unregulated, says IEEFA’s Hazel Ilango.

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    AML / KYC

    SEBI Mandates LEI Reporting Requirement for Debt Issuers

    By Editors | 03/05/2023

    Issuers of listed non-convertible securities, securitised debt instruments and security receipts must obtain and report their LEI by 1 September.

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    Securities / Derivatives

    SEBI Bans Brokers from Pledging Client Funds for Bank Guarantees

    By Editors | 01/05/2023

    Existing bank guarantees created from client funds must be wound down by 30 September, to prevent misuse of investors’ money.

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    Enforcement

    SEBI Imposes 7-Year Market Ban Against Karvy Stock Broking

    By Editors | 29/04/2023

    Karvy Stock Broking Limited was found to have misused clients’ assets in 2019, by pledging them as collateral to borrow funds from banks and NBFCs.

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    Securities / Derivatives

    NSE India to Launch WTI Crude Oil, Natural Gas Futures

    By Editors | 17/04/2023

    NSE will launch WTI crude oil and natural gas futures contracts from 15 May. Both already trade on India’s MCX.

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    Securities / Derivatives

    SEBI Issues Framework to Improve IPO Price Band Discovery

    By Editors | 12/04/2023

    Stock exchanges will have to compute a common equilibrium price for IPO listings if their call auctions result in equilibrium prices that are too far apart.

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    Securities / Derivatives

    SEBI Mandates Direct Plan, Trail Fee Model for AIFs

    By Editors | 11/04/2023

    SEBI said AIFs should ensure onboard investors who approach them through a SEBI-registered intermediary are onboarded via direct plan.

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    SEBI Issues New Advertising Rules for Advisers, Analysts

    By Editors | 06/04/2023

    SEBI’s new rules seek to curb misleading investment advertisements and address the use of unregistered brand names, trade names and logos.

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    Enforcement

    SEBI Probing Related Party Transactions at Adani Group

    By Editors | 04/04/2023

    SEBI is probing three offshore entities which entered into investment transactions with unlisted Adani Group units over the last 13 years.

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