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Securities / Derivatives
SEBI Allows Stock Exchange Listings of Commercial Paper
By Editors | 23/10/2019
SEBI says issuers have shown an interest in listing their commercial paper on stock exchanges to capture broader investor participation.
Market Infrastructure
SEBI’s Final Rules for Resigning Auditors Take Effect
By Editors | 22/10/2019
Auditors proposing to resign must first report all of the issues that may be hindering the audit process to the audit committee of the listed company.
AML / KYC
SEBI Issues Measures to Protect Securities Market Client Records
By Editors | 18/10/2019
A new cybersecurity framework has been issued for KYC registration agencies. Stockbrokers, depository participants, registrars and transfer agents are asked to submit their quarterly reports by end-November.
Securities / Derivatives
SEBI Allows Indian Firms to Issue Depository Receipts
By Editors | 12/10/2019
Domestically listed companies will be allowed to issue depository receipts on certain international bourses as well as on GIFT City exchanges.
Securities / Derivatives
SEBI Prescribes New Limits for Debt Fund Exposures
By Editors | 10/10/2019
The regulatory has prescribed new limits for debt mutual funds’ investment in unlisted, unrated and credit enhanced securities, and tightened sector and group level exposure limits.
AML / KYC
India Establishes High Level Panel on AML/CFT
By Editors | 08/10/2019
The inter-ministerial committee comprises senior officials from government departments, ministries, law enforcement agencies and regulatory bodies, including the RBI, SEBI and IRDAI.
Securities / Derivatives
SEBI Issues Norms for Funds on Money Market, Debt Valuations
By Editors | 01/10/2019
Mutual funds should value money market and debt securities using the waterfall approach on the basis of traded yields, SEBI said in a circular.
Securities / Derivatives
SEBI Prescribes New Risk Management Norms for Liquid Funds
By Editors | 24/09/2019
From 1 April 2020, liquid and overnight funds must hold at least 20% of their net assets in liquid assets such as cash, government securities and treasury bills.
Enforcement
Tribunal Overturns SEBI Order Banning PwC from Auditing
By Editors | 10/09/2019
The Securities Appellate Tribunal cited a lack of evidence against PwC, and said SEBI had no jurisdiction to impose the ban in the first place.
Securities / Derivatives
RBI Task Force Urges Development of Secondary Market for Loans
By Editors | 05/09/2019
The task force recommends easing rules for loan asset securitisation, and to allow secondary market participation from funds and insurers.
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