Securities and Exchange Board of India

Securities / Derivatives

SEBI to Require Registration from Execution-only Mutual Fund Platforms

By Mark Johnston | 14/06/2023

SEBI to require online platforms for mutual fund direct plans to obtain registration from 1 September 2023.

Securities / Derivatives

SEBI Permits Mutual Funds Greater Participation in Repo Market

By Mark Johnston | 11/06/2023

Mutual funds can participate in repo transactions involving commercial papers and certificates of deposit.

Enforcement

India: Appeals Tribunal Reverses SEBI Licence Cancellation Order

By Editors | 11/06/2023

The Securities Appellate Tribunal said SEBI’s order to cancel the licence of Brickwork Ratings was “unjustified” and “not commensurate” with the alleged violations.

Capital / Liquidity

SEBI Issues New Framework for Client Funds Upstreaming

By Mark Johnston | 08/06/2023

Stock brokers will have to upstream all client funds to clearing corporations by the end of each day.

Securities / Derivatives

SEBI Orders Stockbrokers to Direct More Trades to RFQ Platforms

By Sanday Chongo Kabange | 06/06/2023

From 1 July, stockbrokers will have to channel at least 10% of their proprietary corporate bond trades by value through RFQ platforms.

Securities / Derivatives

SEBI Proposes Tighter Rules for Granting QIB Status to AIFs

By Mark Johnston | 31/05/2023

SEBI said many AIFs have only one or two investors but have been obtaining benefits as ‘Qualified Institutional Buyers’.

Securities / Derivatives

SEBI Proposes to Strengthen Investor Grievance Handling Process

By Ranamita Chakraborty | 29/05/2023

SEBI is seeking to streamline the complaints redressal process and introduce a two-tier review system.

Securities / Derivatives

SEBI Proposes to Cut IPO Listing Timelines in Half

By Mark Johnston | 24/05/2023

The proposal is expected to improve the efficiency and transparency of the IPO process and provide faster access to capital.

Enforcement

Adani Shares Recover as SEBI Struggles to Trace Overseas Investors

By Mark Johnston | 24/05/2023

A court-appointed panel says SEBI has been unable to trace the ultimate owners of 13 overseas entities that invested in Adani Group.