SEBI September 2014

By November 12, 2014 December 20th, 2019 No Comments
Date Subject Amendment
September 01, 2014 SEBI(Research Analysts) Regulations, 2014 SEBI hereby makes the  research analyst regulations to put in
place a framework to register and regulate research analysts. Foreign
entities acting as research analysts for Indian markets or India-listed
companies would need to tie-up with a registered entity in India, while
domestic players would also be subjected to strict disclosures and scrutiny.
CIR/CFD/POLICYCELL/6/2014  September 11, 2014 Increasing the investment bucket for anchor investor and
regulations concerning the preferential issue norms
SEBI (Issue of Capital and
Disclosure Requirements) Regulations, 2009 have been amended vide SEBI (Issue
of Capital and Disclosure Requirements) (Second Amendment) Regulations, 2014
with effect from August 25, 2014. In order to remove any difficulties in the
application or interpretation of Second Amendment Regulations, SEBI has
issued certain clarification for the same.
September  15, 2014 SEBI(Settlement of Administrative And Civil Proceedings
(Amendment) Regulatons 2014
SEBI has made following
amendment in Settlement of Administrative & Civil Proceedings Regulations
2014: In the SEBI (Settlement of Administrative and Civil Proceedings)
Regulations, 2014, in Schedule I, in Part B, the word “five ” shall
be substituted with the word “ten”.
CIR/MRD/DRMNP/26/2014  September 15, 2014 Position Limits for Mutual Funds in 10-year Interest Rate
Futures (IRF)
It is clarified that the
following position limits in IRF shall be applicable for Mutual Fund level
and scheme level:
a. Mutual Funds shall have position limits as applicable to trading members
b. Schemes of Mutual Funds shall have position limits as applicable to
clients presently. 
September 15, 2014 Corporate Governance in listed entities – Amendments to
Clause 49 of the Equity Listing Agreement
In terms of the said
circular,  Clause 49 of the Listing
Agreement has been amended which  would
be applicable to all listed companies with effect from October 01, 2014. 
27 /2014
September 18, 2014 Establishment of Connectivity
with both depositories NSDL and CDSL – Companies eligible for shifting from
Trade for Trade Settlement (TFTS) to Normal Rolling Settlement
At least 50% of other than
promoter holdings as per clause 35 of Listing Agreement are in dematerialized
mode before shifting the trading in the securities of the company from TFTS
to normal Rolling Settlement. For this purpose, the listed companies shall
obtain a certificate from its Registrar and Transfer Agent (RTA) and submit
the same to the stock exchange/s. However, if an issuer-company does not have
a separate RTA, it may obtain a certificate in this regard from a practicing
company Secretary/Chartered Accountant and submit the same to the stock
September 26, 2014 SEBI (Real Estate Investment Trusts) Regulations, 2014  SEBI has notified SEBI (Real Investment
Trsuts) Regulations, 2014 for laying down a framework for Real Estate
Investment Trusts and registration and
regulation thereof.
September 26, 2014 SEBI (Infrastructure Investment Trusts) Regulations 2014 The SEBI (Infrastructure
Investment Trusts) Regulations, 2014 (“InvIT Regulations”) have been notified
by SEBI  laying a framework for
Infrastructure Investment Trusts and registration and regulation thereof.
CIR/MRD/DP/28/2014 September 29, 2014 Modification to Investor
Protection Fund (IPF) / Customer Protection Fund (CPF) Guidelines
SEBI vide Circular No.
MRD/DoP/SE/Cir-38/2004 dated October 28, 2004 had prescribed the
Comprehensive Guidelines for Investor Protection Fund (IPF)/ Customer
Protection Fund (CPF) at Stock Exchanges. Based on the representations
received from the stock exchanges and recommendations of the Secondary Market
Advisory Committee (SMAC), it has been decided to modify certain clauses in
the aforesaid guidelines.

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