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SEBI : Circulars

 
 
Title : Offer for Sale framework for sale of units of Real Estate Investment Trusts (REITs) and Infrastructure Investment Trusts (InvITs)
Circular Number : SEBI/HO/MRD/MRD-PoD-3/P/CIR/2023/134
Date Of Issue : 03 August, 2023
Title : Audit of firm-level performance data of Portfolio Managers
Circular Number : SEBI/HO/IMD/IMD-PoD-1/P/CIR/2023/133
Date Of Issue : 02 August, 2023
Title : Trading Preferences by Clients - Applicability for commodity derivatives
Circular Number : SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/132
Date Of Issue : 01 August, 2023
Title : Online Resolution of Disputes in the Indian Securities Market
Circular Number : SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131
Date Of Issue : 31 July, 2023
Title : Mandating Legal Entity Identifier (LEI) for all non – individual Foreign Portfolio Investors (FPIs)
Circular Number : SEBI/ HO/ AFD/ AFD– PoD–2/ CIR/ P/ 2023/ 0127
Date Of Issue : 27 July, 2023
Title : Investment by Mutual Fund Schemes and AMCs in units of Corporate Debt Market Development Fund
Circular Number : SEBI/HO/IMD/PoD2/P/CIR/2023/129
Date Of Issue : 27 July, 2023
Title : Framework for Corporate Debt Market Development Fund (CDMDF)
Circular Number : SEBI/HO/IMD/PoD2/P/CIR/2023/128
Date Of Issue : 27 July, 2023
Title : Resources for Trustees of Mutual Funds
Circular Number : SEBI/HO/IMD/IMD-I –PoD1/P/CIR/2023/126
Date Of Issue : 26 July, 2023
Title : New category of Mutual Fund schemes for Environmental, Social and Governance (“ESG”) Investing and related disclosures by Mutual Funds
Circular Number : SEBI/HO/IMD/IMD-I –PoD1/P/CIR/2023/125
Date Of Issue : 20 July, 2023
Title : Disclosure of material events / information by listed entities under Regulations 30 and 30A of Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015
Circular Number : SEBI/HO/CFD/CFD-PoD-1/P/CIR/2023/123
Date Of Issue : 13 July, 2023
Title : BRSR Core - Framework for assurance and ESG disclosures for value chain
Circular Number : SEBI/HO/CFD/CFD-SEC-2/P/CIR/2023/122
Date Of Issue : 12 July, 2023
Title : Regulatory Framework for Sponsors of a Mutual Fund
Circular Number : SEBI/HO/IMD/IMD-PoD-2/P/CIR/2023/118
Date Of Issue : 07 July, 2023
Title : Roles and responsibilities of Trustees and board of directors of Asset Management Companies (AMCs) of Mutual Funds
Circular Number : SEBI/HO/IMD/IMD-PoD-1/P/CIR/2023/117
Date Of Issue : 07 July, 2023
Title : Appointment of Director nominated by the Debenture Trustee on boards of issuers
Circular Number : SEBI/HO/DDHS/POD1/P/CIR/2023/112
Date Of Issue : 04 July, 2023
Title : Implementation of circular on upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)
Circular Number : SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/110
Date Of Issue : 30 June, 2023
Title : Investor Service Centres of Stock Exchanges
Circular Number : SEBI/HO/MRD/MRD-PoD-3/P/CIR/2023/104
Date Of Issue : 26 June, 2023
Title : Trading Supported by Blocked Amount in Secondary Market
Circular Number : SEBI/HO/MRD/MRD-POD-2/P/CIR/2023/99
Date Of Issue : 23 June, 2023
Title : Standardised approach to valuation of investment portfolio of Alternative Investment Funds (AIFs)
Circular Number : SEBI/HO/AFD/PoD/CIR/2023/97
Date Of Issue : 21 June, 2023
Title : Modalities for launching Liquidation Scheme and for distributing the investments of Alternative Investment Funds (AIFs) in-specie
Circular Number : SEBI/HO/AFD/PoD1/CIR/2023/098
Date Of Issue : 21 June, 2023
Title : Issuance of units of AIFs in dematerialised form
Circular Number : SEBI/HO/AFD/PoD1/CIR/2023/96
Date Of Issue : 21 June, 2023
Title : Trading Preferences by Clients
Circular Number : SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/95
Date Of Issue : 21 June, 2023
Title : Adherence to provisions of regulation 51A of SEBI (Issue and Listing of Non-Convertible Securities) Regulations, 2021 by Online Bond Platform Providers on product offerings on Online Bond Platforms
Circular Number : SEBI/HO/DDHS/POD1/P/CIR/2023/092
Date Of Issue : 16 June, 2023
Title : Amendment to Guidelines on Anti-Money Laundering (AML) Standards and Combating the Financing of Terrorism (CFT) /Obligations of Securities Market Intermediaries under the Prevention of Money Laundering Act, 2002 and Rules framed there under
Circular Number : SEBI/HO/MIRSD/MIRSDSECFATF/P/CIR/2023/091
Date Of Issue : 16 June, 2023
Title : Amendment to Circular on issue of Certified copies of Orders and Circulars
Circular Number : SEBI/HO/LAD1/LAD1_DoP3/P/CIR/2023/88
Date Of Issue : 13 June, 2023
Title : Corrigendum to Circular on Participation of Mutual funds in repo transactions on Corporate Debt Securities dated June 8, 2023
Circular Number : SEBI/HO/IMD/IMD PoD-2/P/CIR/2023/87
Date Of Issue : 13 June, 2023
Title : Regulatory framework for Execution Only Platforms for facilitating transactions in direct plans of schemes of Mutual Funds
Circular Number : SEBI/HO/IMD/IMD-PoD-1/P/CIR/2023/86
Date Of Issue : 13 June, 2023
Title : Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)
Circular Number : SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/084
Date Of Issue : 08 June, 2023
Title : Participation of Mutual funds in repo transactions on Corporate Debt Securities
Circular Number : SEBI/HO/IMD/IMD PoD-2/P/CIR/2023/85
Date Of Issue : 08 June, 2023
Title : Online processing of investor service requests and complaints by RTAs
Circular Number : SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/72
Date Of Issue : 08 June, 2023
Title : Transactions in corporate bonds through Request for Quote platform by Stock Brokers (SBs)
Circular Number : SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/083
Date Of Issue : 02 June, 2023
Title : Comprehensive guidelines for Investor Protection Fund and Investor Services Fund at Stock Exchanges and Depositories
Circular Number : SEBI/HO/MRD/MRD-PoD-3/P/CIR/2023/81
Date Of Issue : 30 May, 2023
Title : Model Tripartite Agreement between the Issuer Company, Existing Share Transfer Agent and New Share Transfer Agent as per Regulation 7(4) of SEBI (LODR) Regulation, 2015
Circular Number : SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/79
Date Of Issue : 25 May, 2023
Title : Revision in computation of Core Settlement Guarantee Fund in Commodity Derivatives Segment
Circular Number : SEBI/HO/MRD/MRD-POD-1/P/CIR /2023/78
Date Of Issue : 23 May, 2023
Title : Risk disclosure with respect to trading by individual traders in Equity Futures & Options Segment
Circular Number : SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/73
Date Of Issue : 19 May, 2023
Title : Investment in units of Mutual Funds in the name of minor through guardian
Circular Number : SEBI/HO/IMD/POD-II/CIR/P/2023/0069
Date Of Issue : 12 May, 2023
Title : Direct Market Access (DMA) to SEBI registered Foreign Portfolio Investors (FPIs) for participating in Exchange Traded Commodity Derivatives (ETCDs)
Circular Number : SEBI/HO/MRD/MRD-PoD-1/P/CIR/2023/68
Date Of Issue : 10 May, 2023
Title : Registration with the FINNET 2.0 system of Financial Intelligence Unit – India (FIU-India)
Circular Number : SEBI/HO/DDHS/DDHS-POD1/CIR/P/2023/67
Date Of Issue : 09 May, 2023
Title : Testing Framework for the Information Technology (IT) systems of the Market Infrastructure Institutions (MIIs)
Circular Number : SEBI/HO/MRD/TPD/P/CIR/2023/65
Date Of Issue : 05 May, 2023
Title : Additional requirements for the issuers of transition bonds
Circular Number : SEBI/HO/DDHS/DDHS_Div1/P/CIR/2023/66
Date Of Issue : 04 May, 2023
Title : Introduction of Legal Entity Identifier (LEI) for issuers who have listed and/ or propose to list non-convertible securities, securitised debt instruments and security receipts
Circular Number : SEBI/HO/DDHS/DDHS_Div1/P/CIR/2023/64
Date Of Issue : 03 May, 2023
Title : Procedure for implementation of Section 12A of the Weapons of Mass Destruction and their Delivery Systems (Prohibition of Unlawful Activities) Act, 2005 – Directions to stock exchanges and registered intermediaries
Circular Number : SEBI/HO/MIRSD/MIRSD-SEC-5/P/CIR/2023/062
Date Of Issue : 26 April, 2023
Title : Modifications in the requirement of filing of Offer Documents by Mutual Funds
Circular Number : SEBI/HO/IMD/IMD-RAC-2/P/CIR/2023/60
Date Of Issue : 25 April, 2023
Title : Bank Guarantees (BGs) created out of clients’ funds
Circular Number : SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/061
Date Of Issue : 25 April, 2023
Title : Procedure for seeking prior approval for change in control of Vault Managers
Circular Number : SEBI/HO/MRD/MRD-PoD-1/P/CIR/2023/59
Date Of Issue : 21 April, 2023
Title : Issue of Master Circular by Stock Exchanges, Clearing Corporations and Depositories
Circular Number : SEBI/HO/MRD/POD 3/CIR/P/2023/58
Date Of Issue : 20 April, 2023
Title : Dispute Resolution Mechanism for Limited Purpose Clearing Corporation (LPCC)
Circular Number : SEBI/HO/DDHS/DDHS-RACPOD1/CIR/P/2023/57
Date Of Issue : 17 April, 2023
Title : Contribution by eligible Issuers of debt securities to the Settlement Guarantee Fund of the Limited Purpose Clearing Corporation for repo transactions in debt securities
Circular Number : SEBI/HO/DDHS/DDHS-RACPOD1/CIR/P/2023/56
Date Of Issue : 13 April, 2023
Title : Formulation of price bands for the first day of trading pursuant to Initial Public Offering (IPO), re-listing etc. in normal trading session
Circular Number : SEBI/HO/MRD/MRD-TPD-1/CIR/P/2023/55
Date Of Issue : 11 April, 2023
Title : Direct plan for schemes of Alternative Investment Funds (AIFs) and trail model for distribution commission in AIFs
Circular Number : SEBI/HO/AFD/PoD/CIR/2023/054
Date Of Issue : 10 April, 2023
Title : Guidelines with respect to excusing or excluding an investor from an investment of AIF
Circular Number : SEBI/HO/AFD-1/PoD/P/CIR/2023/053
Date Of Issue : 10 April, 2023
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