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SEBI Approves Proposals to Tighten Investment Adviser Regulation
By Editors | 21/02/2020
The proposals approved include higher net worth requirements for investment advisers, a cap on fees, and segregation of investment advice from product distribution.
Market Infrastructure
India Cabinet Approves SEBI-FCA Updated AIFMD MoU
By Editors | 20/02/2020
The updated MoU substitutes references to EU legislation with the relevant UK law, pursuant to the UK’s exit from the EU on 31 January.
Securities / Derivatives
SEBI Forms Municipal Bonds Development Committee
By Editors | 18/02/2020
The committee will advise on regulation to develop the primary and secondary markets for municipal bonds.
Capital / Liquidity
SEBI Bars Portfolio Managers from Charging Upfront Fees
By Editors | 18/02/2020
SEBI has barred portfolio managers from charging upfront fees from clients and imposed caps on annual management fees and exit loads.
Fintech / Regtech
SEBI Approves Live Sandbox Testing for Regulated Entities
By Editors | 18/02/2020
SEBI-registered entities can test new products, services and business models on a limited set of customers, for a specified period of time, with certain regulatory relaxations.
Securities / Derivatives
SEBI Introduces New System to Detect Broker Misuse of Client Securities
By Editors | 17/02/2020
An online register will record brokers’ holdings of client securities, clubbing all such information collected by exchanges, depositories and clearing corporations for all types of trades.
Capital / Liquidity
India Doubles Pension Fund Manager Net Worth Requirement
By Editors | 13/02/2020
The increase brings the requirements for pension fund managers in line with those for managers of mutual funds regulated by SEBI.
Securities / Derivatives
SEBI Tightens Disclosure Standards for Alternative Investment Funds
By Editors | 07/02/2020
SEBI has set out minimum disclosure standards and introduced mandatory performance benchmarking for alternative investment funds.
Securities / Derivatives
India Streamlines FPI Registration Process
By Editors | 05/02/2020
The new ‘Common Application Form’ can be used for three purposes – FPI registration with SEBI, PAN issuance by the CBDT, and KYC for account opening with intermediaries.
Securities / Derivatives
SEBI Asks Exchanges to Review Commodity Derivatives Performance
By Editors | 05/02/2020
Performance reviews of commodity derivatives contracts should be conducted each year to ensure alignment with the physical markets.
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