Unlisted companies NCD: SEBI Caution to Investors..!

Unlisted companies NCD: SEBI Caution to Investors..! 1. Some unlisted companies are luring retail investors by issuing securities including non-convertible debentures  (NCD) and convertible debentures/ non-convertible and convertible preference shares/ equity shares in the ga…

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Norms For Municipal Bonds :SEBI Announces..!

The Securities and Exchange Board of India (SEBI) on July 13, 2015 brought out regulations on the issue and listing of debt securities by municipalities. According to the regulations, a municipality looking to issue debt should not have a negative net worth in the three imme…

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SEBI and Capital Markets - 2014

In what may have been a very busy calendar 2014 for the securities market regulator, the Securities and Exchange Board of India (SEBI) introduced a slew of measures to enhance the working of capital markets, protect investors, and even invoked physical penalty by way of imp…

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SEBI RESEARCH ANALYSTS REGULATIONS -2014: FAQs

FREQUENTLY ASKED QUESTIONS (FAQs) SEBI (RESEARCH ANALYSTS) REGULATIONS, 2014 Disclaimer: These FAQs are prepared with a view to guide market participants on SEBI (Research Analysts) Regulations, 2014 ("RA Regulations"). For full particulars of laws governing the Re…

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Research Analysts: Journalists Under New SEBI Norms

The Securities and Exchange Board of India (SEBI) said on December 9, 2014 the norms covering research analysts' recommendations would also apply to journalists. "SEBI (Research Analyst) Regulations, 2014, cover any person, including journalists, who make public app…

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Invest in Wives of Key Management Personnel : SEBI Barred DLF From Capital Market..!

In its 43 page-order that barred DLF Ltd from accessing the capital market, Securities and Exchange Board of India ( SEBI) had on recently observed that there were probable violations of the Companies Act by the company. "For non-disclosures, mis-statements, untrue statem…

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Single Registration for Stock Brokers & Clearing Members : SEBI CIRCULAR

Securities and Exchange Board of India (SEBI) CIRCULAR CIR/ MIRSD/ 4/ 2014 October 13, 2014 All recognized Stock Exchanges and Clearing Corporations Dear Sir / Madam, Subject: Single registration for Stock Brokers & Clearing Members. (1). Please find enclosed the Notific…

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