Sebi eases requirements for FPIs
5 years, 4 months ago

Sebi eases requirements for FPIs

Live Mint  

Mumbai: Easing the regulatory framework for foreign portfolio investors, Sebi on Wednesday simplified KYC requirements for them and permitted them to carry out off-market transfer of securities. The proposals were cleared by the Sebi's board during its meeting here as part of efforts to simplify and expedite the registration process for foreign portfolio investors. Apart from doing away with the broad-based eligibility criteria for institutional FPIs, under the new framework, FPIs would be classified into two categories instead of three. "FPIs shall be permitted for off-market transfer of securities which are unlisted, suspended or illiquid, to a domestic or foreign investor," the release said.

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History of this topic

Sebi to simplify registration for FPIs looking to invest in govt securities
4 days, 18 hours ago

Sebi to simplify registration for FPIs looking to invest in govt securities

Live Mint  

Mumbai: India's capital markets regulator is set to ease the registration of foreign portfolio investors if they want to invest in government-backed securities, even as it proposed doubling the equity investment threshold set for granular disclosures by FPIs to ₹50,000 crore. "There will be zero requirements for a lot of things including investor group all that data will not be …

Here are Sebi’s new guidelines for independent advisers, research analysts
6 days, 18 hours ago

Here are Sebi’s new guidelines for independent advisers, research analysts

Live Mint  

The market regulator tightened rules for independent advisers and research analysts by imposing deposit requirements and restrictions on the scope of advice to enhance transparency and protect investors. The key amendments include: Deposit requirements Sebi introduced a tiered deposit structure for IAs and RAs based on the maximum number of clients served on any given day during the previous financial …

SEBI Tightens Rules on Offshore Derivative Instruments to Boost Transparency
4 weeks ago

SEBI Tightens Rules on Offshore Derivative Instruments to Boost Transparency

Deccan Chronicle  

The Securities and Exchange Board of India has introduced significant changes to the regulations governing Offshore Derivative Instruments issued by Foreign Portfolio Investors. A circular issued on Tuesday outlined the new requirements aimed at enhancing market transparency and stability.Under the revised framework, FPIs are prohibited from issuing ODIs with derivatives as their underlying assets or using derivatives to hedge their …

SEBI Warns Against Trading Unlisted Securities on Unauthorized Platforms
1 month ago

SEBI Warns Against Trading Unlisted Securities on Unauthorized Platforms

Deccan Chronicle  

The Securities and Exchange Board of India has issued a cautionary advisory to investors, warning against trading in securities of unlisted public limited companies on unauthorized electronic platforms.In a statement, SEBI highlighted that certain electronic platforms and websites have been facilitating such transactions, which violates the Securities Contract Act, 1956, and the SEBI Act, 1992. These laws are intended to …

Sebi norms may have partly fuelled recent FPI sell off
1 month, 1 week ago

Sebi norms may have partly fuelled recent FPI sell off

Live Mint  

MUMBAI : Was the humongous foreign portfolio investor selling of the past two months driven only by poor corporate earnings and rising bond yields in the US? One fund manager said some of the funds awaited global index provider MSCI's rebalancing of its Emerging Markets Index on 25 November. Another fund manager said the circular has been "a matter of …

SEBI imposes ₹9 lakh fine on Reliance Securities for ‘flouting market norms’
1 month, 2 weeks ago

SEBI imposes ₹9 lakh fine on Reliance Securities for ‘flouting market norms’

Hindustan Times  

The Securities and Exchange Board of India on Friday imposed a ₹9 lakh monetary penalty on Reliance Securities for “flouting market norms” and stock broker rules. According to a PTI report,the market regulator's order came after National Stock Exchange and Bombay Stock Exchange carried out a thematic onsite inspection of the books of accounts, records and other documents of authorised …

Sebi proposes revisions to custodian regulations
2 months ago

Sebi proposes revisions to custodian regulations

Live Mint  

The Securities and Exchange Board of India has issued a consultation paper seeking feedback on proposed updates to the Sebi Regulations, which govern the operations of custodians in the Indian securities market. Given the importance of custodians in ensuring smooth market operations, especially for institutional investors, the consultation paper proposes several changes to enhance regulatory oversight and operational resilience. Sebi …

RBI introduces framework for reclassification of FPI to FDI
Trending News
2 months ago

RBI introduces framework for reclassification of FPI to FDI

Live Mint  

The Reserve Bank of India on Monday introduced a streamlined operational framework to allow foreign portfolio investors to convert their investments to foreign direct investment when equity holdings in Indian companies surpass the prescribed 10% limit. The RBI’s new framework mandates that this reclassification be finalized within five trading days following the transaction that breaches the limit, subject to approvals …

RBI, Sebi issue framework for reclassifying FPI investments as FDI
2 months ago

RBI, Sebi issue framework for reclassifying FPI investments as FDI

New Indian Express  

MUMBAI: The Reserve Bank of India and the Securities and Exchange Board have directed foreign portfolio investors to obtain necessary approvals from the government and concurrence from the investee companies in cases of acquisition of equity holdings beyond the prescribed limits. The direction better aligns with the Fema rules, the regulators said in separate notifications Monday and helps lift the …

Sebi permits mutual funds to invest in overseas funds with limit on exposure to Indian securities
2 months, 1 week ago

Sebi permits mutual funds to invest in overseas funds with limit on exposure to Indian securities

Live Mint  

The Securities and Exchange Board of India has permitted mutual funds to invest in overseas mutual funds or unit trusts that invest a portion of their assets in Indian securities. “In order to facilitate ease of investment in overseas MF/UTs, to bring transparency in the manner of investment, and to enable Mutual Funds to diversify their overseas investments, the following …

Sebi's fixed timelines to address delays in NFO fund deployment
2 months, 1 week ago

Sebi's fixed timelines to address delays in NFO fund deployment

Live Mint  

NEW DELHI : In a pivotal regulatory proposal, the Securities and Exchange Board of India has outlined fixed timelines for deploying funds collected through new fund offers. Why Sebi is setting a deployment timeline Historically, delays in fund deployment have raised concerns, with investors expecting their contributions to be promptly invested according to each fund’s objectives. Sebi’s motivation behind a …

Sebi's Demat Reform: A Step Towards Financial Inclusion for Collective Entities
2 months, 3 weeks ago

Sebi's Demat Reform: A Step Towards Financial Inclusion for Collective Entities

Live Mint  

India is taking significant steps towards financial inclusion and regulatory simplification with the Securities and Exchange Board of India (Sebi) proposing a key reform for non-corporate entities. The proposal allows Associations of Persons (AoPs) to open demat accounts in their names for holding non-equity securities. This reform aims to enhance the ease of doing business for entities such as housing …

SEBI tightens noose on insider trading
3 months, 2 weeks ago

SEBI tightens noose on insider trading

The Hindu  

In a bid to tighten the noose on insider trading, the Securities and Exchange Board of India on Monday decided to expand the definition of “connected persons” who have access to price sensitive information. According to the decision ratified by the board, a connected person would now include “a firm or its partner or its employee in which a ‘connected …

SEBI Imposes Rs 11 Lakh Fine On IIFL Securities For Compliance Failures
4 months, 3 weeks ago

SEBI Imposes Rs 11 Lakh Fine On IIFL Securities For Compliance Failures

Live Law  

The Securities and Exchange Board of India has levied a fine of Rs 11 lakh on IIFL Securities Limited for breaches of various regulatory guidelines under the Securities Contracts Rules and associated SEBI circulars. The SEBI order highlighted that IIFL Securities violated multiple provisions related to margin trading and client fund management. The broker was found to have transferred securities …

Sebi amends FPIs' registration rules
6 months, 2 weeks ago

Sebi amends FPIs' registration rules

Deccan Chronicle  

New Delhi: Sebi has tweaked the guidelines for registration of Foreign Portfolio Investors pertaining to non-resident Indians, overseas citizens of India and resident Indians as participant of such foreign investors.Under the new rule, FPIs applying for registration need to ensure that the contribution of a single NRI or overseas citizen of India or resident Indian in its corpus is below …

SEBI Extends Reporting Deadlines For Foreign Portfolio Investors, Offers Greater Flexibility
7 months, 1 week ago

SEBI Extends Reporting Deadlines For Foreign Portfolio Investors, Offers Greater Flexibility

Live Law  

The Securities and Exchange Board of India has introduced changes related to reporting requirements for Foreign Portfolio Investors which offers them greater flexibility. The primary modification introduced by SEBI involves the categorization of material changes notified by FPIs into two distinct groups: Type I and Type II. FPIs are required to report Type I changes within seven working days and …

SEBI Mandates Direct Transfer Of Securities To Client Demat Accounts
7 months, 1 week ago

SEBI Mandates Direct Transfer Of Securities To Client Demat Accounts

Live Law  

The Securities and Exchange Board of India has issued new guidelines mandating the direct transfer of securities to clients' demat accounts by clearing corporations. The existing practice involves brokers pooling securities received in payout and then crediting them to respective client demat accounts. Under the new guidelines, clearing corporations are required to provide a mechanism for trading members/clearing members to …

Don’t fall for social media stock scams, warns SEBI
10 months, 2 weeks ago

Don’t fall for social media stock scams, warns SEBI

Live Mint  

The Securities and Exchange Board of India on February 26 issued a warning alerting investors about deceptive trading platforms falsely claiming to provide stock market access to Indians through the Foreign Portfolio Investors route. The markets regulator noted that fraudsters are luring victims through online trading courses, seminars, and mentorship programs related to the stock market. Impersonating SEBI-Registered FPIs Posing …

SEBI suggests maintaining a distance between intermediaries and ‘finfluencers’. Here are 4 key reasons
1 year, 4 months ago

SEBI suggests maintaining a distance between intermediaries and ‘finfluencers’. Here are 4 key reasons

Live Mint  

The Securities and Exchange Board of India has introduced a proposal to limit interactions between its regulated entities and unregistered “finfluencers”. SEBI said in its consultation paper, “No SEBI registered intermediaries/regulated entities or their agents/representatives shall, directly or indirectly, have any association/relationship in any form, whether monetary or non-monetary, for any promotion or These proposed regulations would mandate that SEBI-regulated …

SEBI Mandates Additional Disclosures By Foreign Portfolio Investors
1 year, 4 months ago

SEBI Mandates Additional Disclosures By Foreign Portfolio Investors

Live Law  

The Securities and Exchange Board of India has issued a circular aimed at promoting heightened transparency among Foreign Portfolio Investors meeting specific criteria. Although PN3 does not directly apply to FPI investments, there are apprehensions that entities with substantial Indian equity portfolios might misuse the FPI route, potentially disrupting the orderly functioning of Indian securities markets. Under Regulations 22 and …

SEBI Notifies Modification In Cyber Security, Cyber Resilience Framework Of Stock Exchanges, Clearing Corporations & Depositories
1 year, 4 months ago

SEBI Notifies Modification In Cyber Security, Cyber Resilience Framework Of Stock Exchanges, Clearing Corporations & Depositories

Live Law  

In a recent development, the Securities and Exchange Board of India has announced a notable modification in the Cyber Security and Cyber Resilience framework for Stock Exchanges, Clearing Corporations, and Depositories. SEBI's latest circular dated August 24, 2023, revises certain aspects of the existing cybersecurity guidelines. The revised framework mandates that Market Infrastructure Institutions must carry out comprehensive cyber audits …

SEBI Mandates Enhance Disclosure Requirements For Certain FPIs
1 year, 5 months ago

SEBI Mandates Enhance Disclosure Requirements For Certain FPIs

ABP News  

In a bid to bring greater transparency, the Securities and Exchange Board of India on Friday introduced enhanced disclosure requirements for a certain class of Foreign Portfolio Investors. Notably, In June the market regulator had decided to mandate additional granular-level disclosures regarding ownership, economic interest, and control from certain FPIs. "A foreign portfolio investor that fulfills the criteria specified by …

SEBI updates rules to ease the debt securities issuers’ disclosure structure
1 year, 6 months ago

SEBI updates rules to ease the debt securities issuers’ disclosure structure

Live Mint  

To prevent debt securities issuers from filing numerous copies of the same document, the market regulator Securities and Exchange Board of India released regulations for the introduction of the general information and important information document concepts. For subsequent private placements of non-convertible securities or commercial papers made within the validity period, only a Key Information Document detailing important modifications will …

SEBI bars IIFL Securities from taking new clients for 2 years
1 year, 6 months ago

SEBI bars IIFL Securities from taking new clients for 2 years

Live Mint  

Market regulator Securities and Exchange Board of India on Monday barred IIFL Securities from taking new clients for 2 years. In its probe, Sebi found that IIFL has misused the funds of its credit balance clients for settlement of its proprietary trades as well as the trades of its debit balance clients from April 2011 to June 2014, and the …

Sebi proposes mandating additional disclosure for high-risk FPIs
1 year, 7 months ago

Sebi proposes mandating additional disclosure for high-risk FPIs

The Hindu  

Capital markets regulator SEBI on Wednesday came out with a proposal mandating enhanced disclosures from high-risk Foreign Portfolio Investors to guard against possible circumvention of the Minimum Public Shareholding requirement. In its consultation paper, the regulator has proposed obtaining granular information from high-risk FPIs that have concentrated equity holdings in single companies or business groups. "For now, it is proposed …

SEBI sets buying, selling of MFs under insider trading rules
2 years, 1 month ago

SEBI sets buying, selling of MFs under insider trading rules

The Hindu  

Capital markets regulator SEBI has amended norms to bring buying and selling of mutual fund units under the ambit of insider trading rules. At present, insider trading rules are applicable to dealing in securities of listed companies or those proposed to be listed, when in possession of Unpublished Price Sensitive Information. "No insider shall trade in the units of a …

Sebi rationalises norms for stockbrokers to set up subsidiaries, JV in GIFT IFSC
2 years, 8 months ago

Sebi rationalises norms for stockbrokers to set up subsidiaries, JV in GIFT IFSC

Live Mint  

The market regulator Sebi on Friday rationalised the process of application by stockbrokers or clearing members for setting up wholly-owned subsidiaries, step down subsidiaries, and joint ventures in GIFT IFSC. Generally, Sebi receives applications from Stock Brokers/ Clearing Members for granting NOCs for setting up Wholly Owned Subsidiaries, Step Down Subsidiaries, Joint Ventures, etc. Under the new guidelines issued today, …

Sebi issues framework for processing AIF registration applications
4 years, 2 months ago

Sebi issues framework for processing AIF registration applications

Live Mint  

Markets regulator Sebi on Thursday came out with a framework for processing of applications for registrations of Alternative Investment Funds. Earlier this week, the regulator amended AIF rules to provide that the manager may constitute an investment committee to approve investment decisions of the AIF subject to certain conditions. "The applications wherein investment committee proposed to be constituted to approve …

Sebi issues norms for stock exchange subsidiary to regulate investment advisors
4 years, 5 months ago

Sebi issues norms for stock exchange subsidiary to regulate investment advisors

Live Mint  

MUMBAI: The Securities and Exchange Board of India has allowed stock exchanges to propose a subsidiary to regulate investment advisors. Sebi had established the first set of rules governing investment advisors in 2013 and has progressively tightened regulations since then to combat mis-selling and fraudulent stock tip operators. It released a consultation paper on Self Regulatory Organisations for intermediaries including …

SEBI eases compliance rules for processing of demat request, KYC application
4 years, 8 months ago

SEBI eases compliance rules for processing of demat request, KYC application

Firstpost  

Markets regulator SEBI on Thursday relaxed compliance norms for depository participants, stock brokers and share transfer agents with regard to the processing of demat request and KYC application amid the coronavirus pandemic New Delhi: Markets regulator SEBI on Thursday relaxed compliance norms for depository participants, stock brokers and share transfer agents with regard to the processing of demat request and …

Overseas investors from Mauritius eligible for FPI registration with enhanced monitoring, says SEBI
4 years, 10 months ago

Overseas investors from Mauritius eligible for FPI registration with enhanced monitoring, says SEBI

Firstpost  

Following the FATF notice, some fund managers knocked on SEBI’s door overnight, raising concerns over validity of FPI registration done through the tax haven. New Delhi: Market regulator Sebi on Tuesday said foreign investors from Mauritius will continue to be eligible for FPI registration with increased monitoring as per international norms. The announcement comes after the tax haven was put …

Foreign investors from Mauritius to continue being eligible for FPI registration with increased monitoring: SEBI
4 years, 10 months ago

Foreign investors from Mauritius to continue being eligible for FPI registration with increased monitoring: SEBI

Firstpost  

The SEBIannouncement comes after the tax haven was put on the ‘grey list’ of Financial Action Task Force —an inter-governmental policy-making body that sets anti-money laundering standards New Delhi: Market regulator Sebi on Tuesday said foreign investors from Mauritius will continue to be eligible for FPI registration with increased monitoring as per international norms. The announcement comes after the tax …

Sebi asks brokers, fund houses, others to ensure compliance with prevention of unlawful acts
4 years, 10 months ago

Sebi asks brokers, fund houses, others to ensure compliance with prevention of unlawful acts

India TV News  

Capital markets regulator Sebi on Tuesday asked stock brokers, mutual fund houses and other market intermediaries to ensure strict compliance with the prevention of unlawful activities law. In a statement, Sebi advised market intermediaries to ensure compliance with instructions pertaining to UAPA or The Unlawful Activities Act. In addition, the regulator has asked market entities to ensure that accounts are …

Sebi gets tough
4 years, 10 months ago

Sebi gets tough

Live Mint  

The Securities and Exchange Board of India has tightened rules that apply to investment advisory services. The market regulator has also prohibited investment advisers from hawking products to their clients. Not all retail investors fully grasp the conflict of interest inherent in advice offered by someone who makes money off the investment being advised. Too many people find themselves lumped …

Sebi plans to ease FPI norms; will allow clubbing of investment limits
6 years, 1 month ago

Sebi plans to ease FPI norms; will allow clubbing of investment limits

Live Mint  

New Delhi: In a series of reforms, capital markets regulator Securities and Exchange Board of India is planning to expand its Offer For Sale framework to more companies, relax its norms for clubbing of investment limits by established foreign investors and tighten insider trading rules. The regulator is also planning to relax its disclosure norms for housing finance companies and …

Relief for FPIs as Sebi eases KYC guidelines
6 years, 3 months ago

Relief for FPIs as Sebi eases KYC guidelines

Live Mint  

Mumbai: The Securities and Exchange Board of India on Friday relaxed know-your-client requirements norms for foreign portfolio investors. After considering the interim recommendations of the Sebi working group under the chairmanship of Harun R. Khan, a former deputy governor of the Reserve Bank of India, the capital markets regulator said beneficial ownership criteria in Prevention of Money Laundering Rules, 2005, …

SEBI mulls reaching govt to seek powers to intercept calls, electronic communications of serious economic offenders
6 years, 3 months ago

SEBI mulls reaching govt to seek powers to intercept calls, electronic communications of serious economic offenders

Firstpost  

Currently, SEBI has powers to seek call data records as part of its probes, but the committee is of the view that the regulator needs more powers to assist in its regulatory responsibilities. Mumbai: To bolster its evidence-gathering mechanism, Securities and Exchange Board of India Tuesday said it may approach the government to seek powers to intercept calls and electronic …

Sebi initiates public consultation on FPI norms as panel suggests major changes, more time
6 years, 4 months ago

Sebi initiates public consultation on FPI norms as panel suggests major changes, more time

India TV News  

In relief to foreign investors worried over new KYC and beneficiary ownership norms, regulator Sebi Saturday initiated a public consultation process for finalising the new guidelines after a high-powered panel suggested changes on several contentious proposals and more time for compliance. Amid concerns in some quarters that several foreign funds, including those managed and owned by NRIs and PIOs, may …

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