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Enforcement
SEBI Targets Insider Trading with Informant Reward Mechanism
By Editors | 22/08/2019
Whistleblowers will be eligible for rewards up to $139,000 and, if culpable themselves, for amnesty or settlement with SEBI.
Securities / Derivatives
SEBI Proposal Stricter Rules for Portfolio Managers
By Editors | 06/08/2019
SEBI proposes a higher net worth requirement, a higher minimum investment, and standardised performance reporting for portfolio managers, among other changes.
Market Infrastructure
SEBI Seeks Uniform Penalties Framework for Margin Reporting Failures
By Editors | 03/08/2019
Fines charged to members for misreporting or non-reporting of margins collected from clients may extend to 100% of the incorrectly or nonreported amount.
Market Infrastructure
SEBI Grants QCCP Status to MCX Clearing Corporation
By Editors | 01/08/2019
SEBI has granted qualifying central counterparty status to Multi Commodity Exchange Clearing Corporation.
Fintech / Regtech
India Enables Consent-Based Financial Data Sharing
By Manesh Samtani | 26/07/2019
Four years of collaboration between India’s major financial regulators has resulted in a new platform that enables financial services providers to share data with other institutions based explicitly on user consent.
Market Infrastructure
SEBI Proposes Additional Requirements for Resigning Auditors
By Editors | 22/07/2019
Under the proposal, auditors will be required to finalise their audit reports and make detailed disclosures regarding their reasons for resignation from listed companies.
Capital / Liquidity
SEBI Tightens NPA Disclosure Requirements for Listed Banks
By Editors | 21/07/2019
Listed banks will have to make disclosures if the additional provisioning for NPAs assessed by RBI exceeds 10% of reported profit, compared to 15% previously.
Market Infrastructure
ESMA Recognises NSE IFSC Clearing Corp as Third Country CCP
By Editors | 02/07/2019
The recognition ensures European participants can apply lower risk to trade exposures to NSE IFSC Clearing Corporation and thus benefit from lower capital requirements.
Securities / Derivatives
SEBI Approves Tighter Norms for Mutual Funds
By Editors | 01/07/2019
At its latest board meeting, SEBI approved tighter norms for mutual funds and pledged shares, while also approving a new framework for shares with differential voting rights.
Securities / Derivatives
SEBI Tightens Rules on Handling of Client Securities
By Editors | 21/06/2019
SEBI has issued new rules governing the management and disposal of client securities held by trading and clearing members.
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