| Notification/Circular no. |
Date | Subject | Amendment |
| No. LAD-NRO/GN/2014-15/07/1414 |
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. |
| No. LAD-NRO/GN/2014-15/08/1491 |
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 presently. b. Schemes of Mutual Funds shall have position limits as applicable to clients presently. |
| CIR/CFD/POLICY CELL/7/2014 |
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. |
| CIR/MRD/DP/ 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 exchange/s. |
| No. LAD-NRO/GN/2014-15/11/1576 |
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. |
| No. LAD-NRO/GN/2014-15/10/1577 |
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. |
SEBI September 2014
