Page 152 - Latest Updates on SEBI
Sebi proposes enhanced disclosure requirements for high-risk FPIs
To be unconstrained by any materiality thresholds set by PMLA or secrecy laws: Sebi paper
 "Sebi proposes enhanced disclosure requirements for high-risk FPIs")
Sebi levies penalty of Rs 40 lakh on 8 entities for non-genuine trades
The regulator conducted an investigation into the trading activities of certain entities engaged in the segment from April 2014 to September 2015
 "Sebi levies penalty of Rs 40 lakh on 8 entities for non-genuine trades")
New TER structure in co-creation stage: Sebi chief Madhabi Puri Buch
Regulation is in a co-creation stage with the industry and urged fund houses to share relevant data with the regulator, says Sebi chairperson
 "New TER structure in co-creation stage: Sebi chief Madhabi Puri Buch")
Amfi to form ethics panel to curb misconduct in asset management companies
The proposed ethics committee of Amfi, a nodal association of mutual funds in the country, is envisioned to be able to take action on a self-regulatory basis against individuals
 "Amfi to form ethics panel to curb misconduct in asset management companies")
Sebi posts guidelines for Investor Protection Fund, Investor Services Fund
The amount in IPF will be used to meet the investment claims of the clients of the defaulting trading members, to pay interim relief to investors, and promote investors' education
 "Sebi posts guidelines for Investor Protection Fund, Investor Services Fund")
Sebi cancels Siddhi Vinayak Commodities' registration in NSEL case
Sebi has asked the broker to allow its existing clients to withdraw or transfer their securities or funds held in its custody within 15 days
Sebi, industry officials seek common ground as differences on UPSI arise
Industry officials say the proposed change may bring confusion to what all is categorised as price-sensitive information along with compliance burden
 "Sebi, industry officials seek common ground as differences on UPSI arise")
Disrupting real estate markets
Sebi need not get into the business of regulating the platforms offering fractional ownership rights in real estate
 "Disrupting real estate markets")
Sebi levies Rs 15 lakh fine on an individual for violating markets norms
In a separate order, the regulator slapped fines totalling Rs 10 lakh on Bull Research Investment Advisors and its directors for flouting regulatory norms
 "Sebi levies Rs 15 lakh fine on an individual for violating markets norms")
Sebi reconstitutes intermediary advisory committee for legal framework
The 21-member committee has representation from the brokerage industry, financial institutions, legal fields and Sebi's members, as per the information available with the markets watchdog
 "Sebi reconstitutes intermediary advisory committee for legal framework")
Sebi may soon ease compliance norms for PE, VC funds in India: Report
The capital markets regulator had last week sent an email to 20 fund officials asking them to suggest ways to reduce the compliance burden
 "Sebi may soon ease compliance norms for PE, VC funds in India: Report")
Listing timeline
Sebi can proceed gradually to T+3
Mansun Consultancy, P R Sundar settle case with market regulator Sebi
The advisory fees collected by Mansun were Rs 4.36 crore and Rs 23.53 lakh, respectively, in its bank account, the regulator added
High expense ratio erodes mutual funds' net return, so monitor cost
If your distributor suggests moving from a low- to a high-cost fund, question the rationale of the move
 "High expense ratio erodes mutual funds' net return, so monitor cost")
In financial frauds, CFOs failing as first gatekeepers: Sebi's S K Mohanty
The Sebi official pointed out that one of the major areas of concern is that the regulator has seen the rise in related-party transactions
Sebi to issue MF light regulations for passive funds to ease compliance
To accommodate passive investments, such as index funds and ETFs, the regulator is introducing mutual fund light regulations, Sebi Whole Time Member Ananta Barua said
Sebi sets up intermediary advisory panel to be led by former ED S Ravindran
The committee will advise the regulator on legal framework, transparency, and market safety-related matters
Narendra Modi govt at 9: Index returns in line with long-term trend
Improvement in financial savings channelised massive inflows into the equities market through the mutual fund route
 "Narendra Modi govt at 9: Index returns in line with long-term trend")
Sebi bans 3 entities for unregistered investment advisory services
Capital markets regulator Sebi on Thursday barred three entities, including Investocare Financial Research, from the securities markets
Sebi releases model tripartite with respect to share transfer agent change
Markets regulator Sebi on Thursday came out with a model tripartite agreement for the issuer company, existing share transfer agent and new share transfer agent.