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Fintech / Regtech
India Brokers Asked to Report on AI, ML Systems by 15 Apr
By Editors | 13/04/2019
In line with January circular from SEBI, BSE India has asked stock brokers to submit their cybersecurity compliance reports for the Jan-Mar quarter.
Market Infrastructure
SEBI Issues CCP Guidelines for Risk-Based Capital, Net Worth
By Editors | 12/04/2019
New norms have been issued by India’s regulator on computing risk-based capital and net worth requirements for clearing corporations.
Enforcement
SEBI Proposes SRO Nomination Plan for Mutual Fund Distributors, Advisers
By Editors | 02/04/2019
A consultation proposes the creation of a nomination committee comprising external experts to recommend a self regulatory organisation for mutual fund distributors and advisers to curb mis-selling.
Market Infrastructure
NSE, SGX Reach Agreement on India Derivatives
By Editors | 01/04/2019
NSE and SGX have reportedly finalised an agreement that will enable SGX to offer trading in Nifty derivatives to Singapore investors through a special purpose vehicle operating as a broker at GIFT City.
Market Infrastructure
SEBI Updates Disaster Recovery Guidelines for Market Infrastructures
By Editors | 01/04/2019
Stock exchanges, depositories and clearing corporations must have in place business continuity plans and disaster recovery policies that ensure ‘zero data loss’
Securities / Derivatives
SEBI Amends Norms on Mutual Fund Commissions, Disclosures
By Editors | 27/03/2019
SEBI has set a cap on up-fronting of trail commissions and amended disclosure rules to “protect the interests of investors.”
Fintech / Regtech
RBI to Issue Regulatory Sandbox Guidelines Within 2 Months
By Editors | 26/03/2019
The RBI will set up a regulatory sandbox and create an ecosystem which promotes collaboration in fintech, central bank governor Shaktikanta Das said on Monday.
Enforcement
SEBI Seeks Broader Powers to Pursue Securities Law Violations
By Editors | 25/03/2019
SEBI wants to be able to inspect the books of listed companies when it suspects any securities law violations, and to impose penalties for the manipulation of a company’s accounts.
Market Infrastructure
SEBI Consults on Adoption of Dual Class Share Structures
By Editors | 22/03/2019
SEBI’s consultation paper seeks feedback on the issuance of dual class shares by companies already listed in India and those that may be in future.
Market Infrastructure
UPDATED – Bank of England Grants Recognition to Indian Clearing Corporations
By Editors | 20/03/2019
The Metropolitan Clearing Corporation of India is the first Indian clearing corporation to receive recognition from under the UK’s temporary recognition regime.
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