Securities and Exchange Board of India

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    Securities / Derivatives

    SEBI Mandates Simplified Stock Market Access for Clients

    By Mark Johnston | 21/06/2023

    Brokers are mandated to offer clients access to all active stock exchanges they are registered with by default.

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    Fintech / Regtech

    Philippines, India Agree to Collaborate on FinTech Regulation

    By Ranamita Chakraborty | 21/06/2023

    Key representatives from the central banks and regulatory bodies of both countries have formed a joint working group.

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    Securities / Derivatives

    SEBI Directs Online Bond Platforms to Stop Offering Prohibited Products

    By Ranamita Chakraborty | 21/06/2023

    SEBI has observed that some online bond platform providers are offering clients access to unlisted bonds and other unregulated products.

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    AML / KYC

    SEBI Amends AML Guidelines for Securities Market Intermediaries

    By Editors | 20/06/2023

    The guidelines tighten the definition of beneficial ownership and require risk assessments before launching new products and services.

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    Securities / Derivatives

    SEBI to Require Top Listed Entities to Respond to Market Rumours

    By Ranamita Chakraborty | 19/06/2023

    The requirement will apply to the top 100 listed entities from 1 October 2023, and to the top 250 listed entities from 1 April 2024.

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    RBI Asks CRAs for Information on Uncooperative Firms – Report

    By Sanday Chongo Kabange | 14/06/2023

    About half of the 40,000 companies rated in India do not share information with credit rating agencies.

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    Securities / Derivatives

    SEBI to Require Registration from Execution-only Mutual Fund Platforms

    By Mark Johnston | 14/06/2023

    SEBI to require online platforms for mutual fund direct plans to obtain registration from 1 September 2023.

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    Securities / Derivatives

    SEBI Permits Mutual Funds Greater Participation in Repo Market

    By Mark Johnston | 11/06/2023

    Mutual funds can participate in repo transactions involving commercial papers and certificates of deposit.

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    Enforcement

    India: Appeals Tribunal Reverses SEBI Licence Cancellation Order

    By Editors | 11/06/2023

    The Securities Appellate Tribunal said SEBI’s order to cancel the licence of Brickwork Ratings was “unjustified” and “not commensurate” with the alleged violations.

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    Capital / Liquidity

    SEBI Issues New Framework for Client Funds Upstreaming

    By Mark Johnston | 08/06/2023

    Stock brokers will have to upstream all client funds to clearing corporations by the end of each day.

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