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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.
Securities / Derivatives
SEBI Extends Deadline for New Rules on Handling Client Securities
By Editors | 30/08/2019
Following feedback from stock exchanges and market participants, SEBI has decided to extend the effective dates in a June circular by one month.
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