Securities and Exchange Board of India

Market Infrastructure

SEBI Orders Separation Between CRAs and Non-Rating Affiliates

By Editors | 27/09/2022

Credit rating agencies are directed to strengthen their internal firewalls and formulate a policy on their separation/firewall practices by January 2023.

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Company insiders would have their trading automatically restricted while they are in possession of unpublished price sensitive information.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.