Taxmanns Sebi Manual Set Of 3 Vols Compendium Of The Annotated Text Of Acts 45 Rules Regulations 60 Circulars Notifications 20 Master Circulars Etc On Sebi Securities Laws In India

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Taxmann's SEBI Manual (Set of 3 Vols.) – Compendium of the Annotated text of Acts, 45+ Rules/Regulations, 60+ Circulars/Notifications, 20+ Master Circulars, etc., on SEBI & Securities Laws in India

Author : Taxmann
Publisher : Taxmann Publications Private Limited
ISBN 13 : 9357786848
Total Pages : 32 pages
Book Rating : 4.3/5 (577 download)

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Book Synopsis Taxmann's SEBI Manual (Set of 3 Vols.) – Compendium of the Annotated text of Acts, 45+ Rules/Regulations, 60+ Circulars/Notifications, 20+ Master Circulars, etc., on SEBI & Securities Laws in India by : Taxmann

Download or read book Taxmann's SEBI Manual (Set of 3 Vols.) – Compendium of the Annotated text of Acts, 45+ Rules/Regulations, 60+ Circulars/Notifications, 20+ Master Circulars, etc., on SEBI & Securities Laws in India written by Taxmann and published by Taxmann Publications Private Limited. This book was released on 2024-07-31 with total page 32 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book is the most updated & amended compendium of the annotated text of the Acts, Rules, Regulations, Circulars, Master Circulars, etc., on SEBI & Securities Laws in India. This book is unique because it includes all Circulars that amend or clarify primary Circulars, providing a complete and coherent picture. The recent changes (from February 2024 – June 2024) in SEBI & Securities Law include: • 15+ Amendments in Act/Rules/Regulations • 20+ Updated/New Master Circulars This book is helpful for lawyers and legal professionals specializing in securities law, compliance officers in financial institutions, and investors and analysts monitoring regulatory changes. It also benefits academic researchers and students in finance and law, policymakers and regulators in financial markets, and corporate executives and board members overseeing regulatory compliance. The Present Publication is the 43rd Edition | July 2024 & amended up to 31st May 2024. This book is edited by Taxmann's Editorial Board. The coverage of this book includes: • Annotated Text of SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018 (as amended up to date), with the following: o Master Circular for Issue of Capital and Disclosure Requirements o Guidelines for Returning of Draft Offer Documentation and its Resubmission o Self-Regulatory Organizations for Social Impact Assessors in the Context of Social Stock Exchange (SSE) o Audio Visual (AV) Presentation of Disclosures made in Public Issue Offer Documents • Annotated Text of SEBI Act, 1992 (as amended up to date) with SEBI Notifications • Securities Contracts (Regulations) Act, 1956 (as amended up to date) with Securities Contracts (Regulation) Rules, 1957, with the following: o Securities Contracts (Regulation) (Procedure for Holding Inquiry and Imposing Penalties) Rules, 2005 o Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018 o Securities Contracts (Regulation) (Manner of Increasing and Maintaining Public Shareholding in Recognised Stock Exchanges) Regulations, 2006 o Securities Contracts (Regulation) (Appeal to Securities Appellate Tribunal) Rules, 2000 o Clarifications • 45+ SEBI Rules/Regulations, 60+ Circulars/Notifications/Press Notes In-force, 20+ Master Circulars, and 3+ Operational Circular • Annotated Text of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 (Listing Regulations) with the following: o Master Circular for compliance with the provisions of the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015, by listed entities o Master Circular on § Scheme of arrangement by Listed Entities and § Relaxation under sub-rule (7) of Rule 19 of the Securities Contracts (Regulation) Rules, 1957 o Relaxation from the requirement to furnish a copy of PAN for transfer of equity shares of Listed Entities executed by non-residents o Re-lodgement of transfer requests of shares o Relaxation from compliance with certain provisions of the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, for an Entity with listed Non-Convertible Securities o Master Circular for Listing Obligations and Disclosure Requirements for Non-Convertible Securities, Securitized Debt Instruments and/or Commercial Paper o Extension of timeline for verification of market rumours by listed entities o Limited relaxation from compliance with certain provisions of the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 o Relaxation from compliance with certain provisions of the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 o Procedural framework for dealing with unclaimed amounts Lying with entities having listed Non-Convertible securities and Manner of claiming such amounts by Investors o Extension of Timeline for Verification of Market Rumours by Listed Entities o Framework for Considering Unaffected Price for Transactions upon Confirmation of Market Rumours o Industry Standards on Verification of Market Rumours o Timelines for Disclosures by Social Enterprises on Social Stock Exchange ('SSE') for FY 2023-24 o Listing Agreement for Indian Depository Receipts (IDRs)

Taxmann's Securities and Exchange Board of India (SEBI) Act – Covering SEBI Act along with SCRA, Depositories Act, SEBI ICDR Regulations & 7+ SEBI Rules & Regulations | 2023 Edition

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Author : Taxmann
Publisher : Taxmann Publications Private Limited
ISBN 13 : 9357782826
Total Pages : 17 pages
Book Rating : 4.3/5 (577 download)

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Book Synopsis Taxmann's Securities and Exchange Board of India (SEBI) Act – Covering SEBI Act along with SCRA, Depositories Act, SEBI ICDR Regulations & 7+ SEBI Rules & Regulations | 2023 Edition by : Taxmann

Download or read book Taxmann's Securities and Exchange Board of India (SEBI) Act – Covering SEBI Act along with SCRA, Depositories Act, SEBI ICDR Regulations & 7+ SEBI Rules & Regulations | 2023 Edition written by Taxmann and published by Taxmann Publications Private Limited. This book was released on 2023-05-09 with total page 17 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book covers amended, updated & annotated text of the Securities Exchange Board of India (SEBI) Act, 1992, along with the following: • Securities Contracts (Regulation) Act, 1956 • Depositories Act, 1996 • SEBI (Issue of Capital and Disclosure Requirement) Regulations, 2018 • 7+ SEBI Rules & Regulations The Present Publication is the latest 2023 Edition and has been updated till 15th April 2023. This book is edited by Taxmann's Editorial Board, with the following coverage: • Securities and Exchange Board of India Act, 1992, with Notifications • Securities Contracts (Regulation) Act, 1956 • Depositories Act, 1996 • SEBI Rules & Regulations o SEBI (Buy-Back of Securities) Regulations, 2018 o SEBI (Share Based Employee Benefit and Sweat Equity) Regulations, 2021 o SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Market) Regulations, 2003 o SEBI (Prohibition of Insider Trading) Regulations, 2015 o SEBI (Stock Brokers) Regulations, 1992 o SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 o Securities Contracts (Regulation) Rules, 1957 • SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018

Taxmann's Companies Act with SEBI Rules/regulations & Guidelines & Taxmann's E-Books E-Company Law Manual: SEBI (disclosure & investor protection) guidelines, SEBI rules, regulations & schemes, SEBI guidelines & circulars of day-to-day use, filing of e-company forms

Download Taxmann's Companies Act with SEBI Rules/regulations & Guidelines & Taxmann's E-Books E-Company Law Manual: SEBI (disclosure & investor protection) guidelines, SEBI rules, regulations & schemes, SEBI guidelines & circulars of day-to-day use, filing of e-company forms PDF Online Free

Author : India
Publisher :
ISBN 13 : 9788174968609
Total Pages : pages
Book Rating : 4.9/5 (686 download)

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Book Synopsis Taxmann's Companies Act with SEBI Rules/regulations & Guidelines & Taxmann's E-Books E-Company Law Manual: SEBI (disclosure & investor protection) guidelines, SEBI rules, regulations & schemes, SEBI guidelines & circulars of day-to-day use, filing of e-company forms by : India

Download or read book Taxmann's Companies Act with SEBI Rules/regulations & Guidelines & Taxmann's E-Books E-Company Law Manual: SEBI (disclosure & investor protection) guidelines, SEBI rules, regulations & schemes, SEBI guidelines & circulars of day-to-day use, filing of e-company forms written by India and published by . This book was released on 2007 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Taxmann's Law Relating to ICDR | SEBI (Issue of Capital and Disclosure Requirements) Regulations 2018 – Extensively covering SEBI (ICDR) Regulations | Master Circular | Informal Guidance | Case Laws

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Author : Taxmann
Publisher : Taxmann Publications Private Limited
ISBN 13 : 935778750X
Total Pages : 19 pages
Book Rating : 4.3/5 (577 download)

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Book Synopsis Taxmann's Law Relating to ICDR | SEBI (Issue of Capital and Disclosure Requirements) Regulations 2018 – Extensively covering SEBI (ICDR) Regulations | Master Circular | Informal Guidance | Case Laws by : Taxmann

Download or read book Taxmann's Law Relating to ICDR | SEBI (Issue of Capital and Disclosure Requirements) Regulations 2018 – Extensively covering SEBI (ICDR) Regulations | Master Circular | Informal Guidance | Case Laws written by Taxmann and published by Taxmann Publications Private Limited. This book was released on 2024-05-22 with total page 19 pages. Available in PDF, EPUB and Kindle. Book excerpt: This detailed handbook presents the regulatory framework established by the Securities and Exchange Board of India (SEBI) for the Issue of Capital and Disclosure Requirements (ICDR). This book will be helpful for legal practitioners, compliance officers, finance professionals, and scholars interested in the intricacies of capital market regulations in India. It is structured into four comprehensive divisions, providing extensive analysis and practical guidance on the subject: • Division One – SEBI (Issue of Capital and Disclosure Requirements) Regulations 2018 • Division Two – Master Circular for Issue of Capital and Disclosure Requirements • Division Three – Informal Guidance on ICDR • Division Four – Case Laws The Present Publication is the Latest Edition, updated till 10th May 2024. This book is edited/authored by Taxmann's Editorial Board, with the following coverage: • [SEBI (ICDR) Regulations] This division includes an arrangement of regulations for easy navigation and provides the complete text of the SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018, serving as the foundational reference • [Master Circular for ICDR] This division features the full text of the Master Circular, ensuring readers have access to the latest and most relevant information • [Informal Guidance on ICDR] This division presents the informal guidance provided by SEBI that helps market participants, such as companies, investors, and legal professionals, understand and comply with complex securities laws and regulations • [Case Laws] This division presents a curated collection of case laws related to capital and disclosure requirements

Taxmann's Law Relating to Insider Trading | SEBI (Prohibition of Insider Trading) Regulations 2015 – Extensively covering SEBI (PIT) Regulations | Master Circular | Informal Guidance | Case Laws

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Author : Taxmann
Publisher : Taxmann Publications Private Limited
ISBN 13 : 9357789006
Total Pages : 17 pages
Book Rating : 4.3/5 (577 download)

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Book Synopsis Taxmann's Law Relating to Insider Trading | SEBI (Prohibition of Insider Trading) Regulations 2015 – Extensively covering SEBI (PIT) Regulations | Master Circular | Informal Guidance | Case Laws by : Taxmann

Download or read book Taxmann's Law Relating to Insider Trading | SEBI (Prohibition of Insider Trading) Regulations 2015 – Extensively covering SEBI (PIT) Regulations | Master Circular | Informal Guidance | Case Laws written by Taxmann and published by Taxmann Publications Private Limited. This book was released on 2024-05-22 with total page 17 pages. Available in PDF, EPUB and Kindle. Book excerpt: This detailed handbook presents the regulatory framework established by the Securities and Exchange Board of India (SEBI) for the Prohibition of Insider Trading (PIT). This book will be helpful for corporate professionals, compliance officers, legal practitioners, Board of Directors, Promoters, and Key Managerial Personnel to understand and adhere to the obligations imposed by SEBI against insider trading. It is structured into five comprehensive divisions, providing extensive analysis and practical guidance on the subject: • Division One – SEBI (Prohibition of Insider Trading) Regulations, 2015 • Division Two – Master Circular on Surveillance of Securities Market • Division Three – Other Circulars • Division Four – Informal Guidance on Insider Trading • Division Five – Case Laws The Present Publication is the Latest Edition, updated till 10th May 2024. This book is edited/authored by Taxmann's Editorial Board, with the following coverage: • [SEBI (PIT) Regulations, 2015] This division includes an arrangement of regulations for easy navigation and provides the complete text of the SEBI (Prohibition of Insider Trading) Regulations, 2015, serving as a foundational legal framework designed to prevent insider trading and ensure market integrity • [Master Circular on Surveillance of Securities Market] This division features the full text of the Master Circular on Surveillance of Securities Market. It outlines the procedures and measures implemented by SEBI to monitor and oversee market activities, ensuring compliance and detecting irregularities. • [Other Circulars] This division compiles various other circulars issued by SEBI • [Informal Guidance on Insider Trading] This division presents the informal guidance provided by SEBI, providing practical advice and interpretations for market participants • [Case Laws] This division presents a curated collection of case laws related to insider trading that interpret and elucidate the regulations

Companies Act, 2007 (hard Cover) With Free Cd In 2 Volumes

Author : India
Publisher :
ISBN 13 : 9788174968616
Total Pages : pages
Book Rating : 4.9/5 (686 download)

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Book Synopsis Companies Act, 2007 (hard Cover) With Free Cd In 2 Volumes by : India

Download or read book Companies Act, 2007 (hard Cover) With Free Cd In 2 Volumes written by India and published by . This book was released on 2007 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Taxmann's Analysis | Streamlining Enforcement – SEBI's 'Summary Proceedings'

Author : Taxmann
Publisher : Taxmann Publications Private Limited
ISBN 13 :
Total Pages : 14 pages
Book Rating : 4./5 ( download)

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Book Synopsis Taxmann's Analysis | Streamlining Enforcement – SEBI's 'Summary Proceedings' by : Taxmann

Download or read book Taxmann's Analysis | Streamlining Enforcement – SEBI's 'Summary Proceedings' written by Taxmann and published by Taxmann Publications Private Limited. This book was released on 2024-07-22 with total page 14 pages. Available in PDF, EPUB and Kindle. Book excerpt: This article examines the proposed summary proceedings for swiftly addressing securities law violations by intermediaries. The core advantage of these proceedings is their speed and efficiency. Traditional legal processes are often protracted, causing justice and regulatory enforcement delays. Summary proceedings aim to mitigate these delays, enabling SEBI to address and resolve violations promptly. This approach ensures the rapid protection of investor interests, thereby upholding the securities market's integrity, transparency, and efficiency. The article covers: ‣ Introduction ‣ Understanding Summary Proceedings ‣ Scope of Summary Proceedings for Intermediary Violations ‣ Proposed Legal Framework for Summary Proceedings ‣ Impact of Proposed Summary Proceedings ‣ Conclusion

Taxmann's Analysis | Amended Mutual Fund Norms – Strengthening Transparency, Governance, and Investor Protection in MF Industry

Author : Taxmann
Publisher : Taxmann Publications Private Limited
ISBN 13 :
Total Pages : 15 pages
Book Rating : 4./5 ( download)

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Book Synopsis Taxmann's Analysis | Amended Mutual Fund Norms – Strengthening Transparency, Governance, and Investor Protection in MF Industry by : Taxmann

Download or read book Taxmann's Analysis | Amended Mutual Fund Norms – Strengthening Transparency, Governance, and Investor Protection in MF Industry written by Taxmann and published by Taxmann Publications Private Limited. This book was released on 2023-06-30 with total page 15 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Securities and Exchange Board of India (SEBI) plays a crucial role in regulating and supervising the securities market in the country. SEBI frequently introduces amendments to its regulations in its continuous efforts to enhance transparency, protect investors' interests, and promote the healthy functioning of the mutual fund industry. The SEBI vide. Notification No. SEBI/LAD-NRO/GN/2023/134, dated June 26, 2023, has introduced amendments to the SEBI (Mutual Funds) Regulations, 1996. The key amendment includes: ‣ Introduction of new definitions of 'Liquid Net Worth' and 'Net Asset Value' ‣ Introduction of new meeting requirement for the BODs of trustee companies and asset management companies, including their committees; ‣ Revised Eligibility Criteria for Sponsors; redefines the meaning of 'soundtrack record' etc. This article analyses the key amendments issued by SEBI and examines their potential impact on the market.

Taxmann’s Analysis | SEBI’s Regulatory Overhaul – Bolstering Indian Capital Markets through Stricter FPI Norms

Author : Taxmann
Publisher : Taxmann Publications Private Limited
ISBN 13 :
Total Pages : 14 pages
Book Rating : 4./5 ( download)

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Book Synopsis Taxmann’s Analysis | SEBI’s Regulatory Overhaul – Bolstering Indian Capital Markets through Stricter FPI Norms by : Taxmann

Download or read book Taxmann’s Analysis | SEBI’s Regulatory Overhaul – Bolstering Indian Capital Markets through Stricter FPI Norms written by Taxmann and published by Taxmann Publications Private Limited. This book was released on 2023-07-01 with total page 14 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Securities and Exchange Board of India (SEBI), through its board meeting dated June 28, 2023, has approved and implemented several regulatory changes to improve the efficiency and transparency of the Indian capital market. These changes are expected to significantly impact various aspects of the market, benefiting both issuers and investors. The SEBI vide Press Release (PR No. 12/2023) dated June 28, 2023, highlights the key approvals made by the Board. These include: ‣ The reduction of the timeline for listing of shares in Public Issue from the existing T+6 days to T+3 days, ‣ Enabling direct participation by clients in the Limited Purpose Clearing Corporation (LPCC), ‣ Enforcing stringent disclosure norms for Foreign Portfolio Investors (FPIs) that meet certain objective criteria. These regulatory changes by SEBI represent a significant step towards fostering a more dynamic and investor-friendly capital market in India. With improved efficiency, transparency and investor protection, the Indian market is expected to attract greater participation and drive sustainable growth. This article highlights the key approvals made by the SEBI and analyses their impact on the market.

Taxmann's Analysis | No More Broker Pooling – SEBI's Direct Payout Rule Explained

Author : Taxmann
Publisher : Taxmann Publications Private Limited
ISBN 13 :
Total Pages : 12 pages
Book Rating : 4./5 ( download)

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Book Synopsis Taxmann's Analysis | No More Broker Pooling – SEBI's Direct Payout Rule Explained by : Taxmann

Download or read book Taxmann's Analysis | No More Broker Pooling – SEBI's Direct Payout Rule Explained written by Taxmann and published by Taxmann Publications Private Limited. This book was released on 2024-06-10 with total page 12 pages. Available in PDF, EPUB and Kindle. Book excerpt: This article analyses the recent amendment requiring Clearing Corporations (CCs) to transfer securities to client demat accounts directly. The new rule ends the practice of brokers pooling securities before crediting them to client accounts. The article covers the following key aspects: ‣ Mandatory Direct Payout Mechanism ‣ Benefits of the Direct Payout Mechanism ‣ Implementation Timeline ‣ Separate Demat Accounts for Funded Stocks Under Margin Trading ‣ Handling of Internal Shortages and Broker Charges ‣ Conclusion

Taxmann’s Law Relating to LODR | SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015 – Extensively covering SEBI (PIT) Regulations | Master Circular | Informal Guidance | Case Laws

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Author : Taxmann
Publisher : Taxmann Publications Private Limited
ISBN 13 : 935778408X
Total Pages : 18 pages
Book Rating : 4.3/5 (577 download)

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Book Synopsis Taxmann’s Law Relating to LODR | SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015 – Extensively covering SEBI (PIT) Regulations | Master Circular | Informal Guidance | Case Laws by : Taxmann

Download or read book Taxmann’s Law Relating to LODR | SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015 – Extensively covering SEBI (PIT) Regulations | Master Circular | Informal Guidance | Case Laws written by Taxmann and published by Taxmann Publications Private Limited. This book was released on 2024-05-23 with total page 18 pages. Available in PDF, EPUB and Kindle. Book excerpt: This detailed handbook presents the regulatory framework established by the Securities and Exchange Board of India (SEBI) for the Listing Obligations and Disclosure Requirements (LODR) This book is a practical tool for listed companies, legal professionals, compliance officers, and anyone involved in ensuring adherence to SEBI's stringent regulatory framework. It is structured into nine comprehensive divisions, providing extensive analysis and practical guidance on the subject: • Division One – SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 • Division Two – Master Circular for Compliance with SEBI LODR Regulations • Division Three – Master Circular on Schemes of Arrangement and Rule 19 Relaxations • Division Four – Master Circular for Non-convertible Securities and Securitized Debt Instruments and/or Commercial Papers • Division Five – Model Tripartite Agreement • Division Six – Listing Agreement for Indian Depository Receipts (IDRs) • Division Seven – Other Circulars • Division Eight – Informal Guidance on LODR • Division Nine – Case Laws The Present Publication is the Latest Edition, updated till 10th May 2024. This book is edited/authored by Taxmann's Editorial Board, with the following coverage: • [SEBI (LODR) Regulations, 2015] This division covers the following: o Arrangement of Regulations – A systematic arrangement of the SEBI regulations for ease of navigation and reference o Text of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 – The full text of the regulations, providing a robust foundation for understanding and implementing the core requirements for listed companies • [Master Circular for Compliance with SEBI LODR Regulations] This division covers the following: o Index – A detailed index of the master circular, ensuring quick access to specific sections o List of Abbreviations – A comprehensive list of abbreviations used within the circular, facilitating a better understanding o Text of Master Circular – The complete text of the master circular to ensure comprehensive compliance with SEBI regulations • [Master Circular on Schemes of Arrangement and Rule 19 Relaxations] This division covers the following: o Contents – An organized table of contents for quick navigation o Text of Master Circular – Detailed text covering schemes of arrangement by listed entities and relaxations under sub-rule (7) of rule 19, providing guidance • [Master Circular for Non-convertible Securities and Securitized Debt Instruments and/or Commercial Papers] This division covers the following: o Contents – A well-structured index for the circular o Text of Master Circular – Detailed guidelines for listing obligations and disclosure requirements specific to non-convertible securities, securitized debt instruments, and commercial paper, ensuring comprehensive compliance • [Model Tripartite Agreement] This division covers the complete model agreement that outlines the roles and responsibilities of the issuer company, the existing share transfer agent, and the new share transfer agent, facilitating transitions and compliance • [Listing Agreement for Indian Depository Receipts (IDRs)] This division provides detailed provisions and requirements for the listing agreement specific to Indian Depository Receipts, providing clear guidelines for compliance • [Other Circulars] This division compiles various other circulars issued by SEBI • [Informal Guidance on Insider Trading] This division presents the informal guidance provided by SEBI, providing practical advice and interpretations for compliance professionals • [Case Laws] This division presents a curated collection of case laws related to LODR

Taxmann's Analysis | SEBI Board Meeting Highlights – Curbs on Unregistered Advisors | Flexible Delisting | Enhanced Cybersecurity

Author : Taxmann
Publisher : Taxmann Publications Private Limited
ISBN 13 :
Total Pages : 19 pages
Book Rating : 4./5 ( download)

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Book Synopsis Taxmann's Analysis | SEBI Board Meeting Highlights – Curbs on Unregistered Advisors | Flexible Delisting | Enhanced Cybersecurity by : Taxmann

Download or read book Taxmann's Analysis | SEBI Board Meeting Highlights – Curbs on Unregistered Advisors | Flexible Delisting | Enhanced Cybersecurity written by Taxmann and published by Taxmann Publications Private Limited. This book was released on 2024-07-12 with total page 19 pages. Available in PDF, EPUB and Kindle. Book excerpt: This article analyses the transformative changes made by SEBI to boost transparency, safeguard investors and enhance operational efficiency across various financial segments. The key highlights include: ‣ Restrictions on SEBI-Regulated Persons from Associating With Unregistered Investment Advisors ‣ Providing Flexibility in the Delisting Framework and Counter-Offer Mechanisms ‣ Exempting University Funds Registered as Category I FPIs from Additional Disclosure Requirements ‣ Streamlining the Public Issue Process for Debt Securities and Non-Convertible Redeemable Preference Shares ‣ Measures to Facilitate Ease of Doing Business for InvITs and REITs ‣ Allowing Category I and II AIFs to Borrow for a Shorter Period to Cover Temporary Shortfalls in Investor Contributions ‣ Approves 'Cybersecurity and Cyber Resilience Framework' for Regulated Entities

NISM X Taxmann's Securities Intermediaries Compliance (Non-Fund) – Compendium of Important Regulations for the Compliance Officers working with various Intermediaries in the Securities Markets

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Author : NISM (An Educational Initiative of SEBI)
Publisher : Taxmann Publications Private Limited
ISBN 13 : 9357785779
Total Pages : 23 pages
Book Rating : 4.3/5 (577 download)

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Book Synopsis NISM X Taxmann's Securities Intermediaries Compliance (Non-Fund) – Compendium of Important Regulations for the Compliance Officers working with various Intermediaries in the Securities Markets by : NISM (An Educational Initiative of SEBI)

Download or read book NISM X Taxmann's Securities Intermediaries Compliance (Non-Fund) – Compendium of Important Regulations for the Compliance Officers working with various Intermediaries in the Securities Markets written by NISM (An Educational Initiative of SEBI) and published by Taxmann Publications Private Limited. This book was released on 2024-01-31 with total page 23 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book is a comprehensive guide covering all significant regulations pertinent to the securities markets, encompassing the SEBI Act, SCRA, SCRR, PMLA, Insider Trading, FUTP, and more. It seeks to create a common minimum knowledge benchmark for persons engaged in the compliance function with any intermediary registered with SEBI, such as: • Stock Broker • Depository Participant • Merchant Bankers • Underwriters • Bankers to the Issue • Debenture Trustee • Credit Rating Agencies This book is an invaluable resource for anyone involved in the compliance sector of the securities markets, offering in-depth knowledge and a comprehensive overview of the regulatory landscape. The Present Publication is the January 2023 workbook version, published exclusively by Taxmann for NISM Certification Examination III-A [Securities Intermediaries Compliance (Non-Fund)]. This book is divided into two parts: • [Financial and Regulatory Structure in India] is dealt with in Part A • [Specific Rules & Regulations] governing the intermediaries registered with SEBI are dealt with in Part B The noteworthy features of this book are as follows: • [Understand the Financial Structure in India] including: o Knowledge of the Financial Intermediaries o Types of Products available in the Indian markets • [Understand the Regulatory Framework] and the role of various Regulators in the Financial System • [Importance of Compliance Activity] and the scope and role of Compliance Officers • [Understand the various Rules & Regulations] of the Indian Securities Market • [Understand the Penal Actions] that are initiated in case of default or failure The detailed contents of the book are as follows: • Part A – Understanding Financial Structure in India o Introduction to the Financial System – Explores the essential elements of the financial system, including financial intermediaries, securities, and their roles o Regulatory Framework | General View – Discusses the overall regulatory system governing the financial markets in India, including the role of financial market regulators, other financial agencies, appellate authorities, the legislative framework, and the International Financial Services Centre (IFSC) o Introduction to Compliance – Covers the basics of compliance, specifically focusing on compliance requirements under the SEBI (CAPSM) Regulations, 2007 o Securities and Exchange Board of India Act, 1992 – Details the salient features of the SEBI Act, 1992 o Securities Contracts Regulation – Examines the Securities Contracts (Regulation) Act, 1956, and the Securities Contracts (Regulation) Rules, 1957 o SEBI (Intermediaries) Regulations, 2008 – Provides insights into the general obligations of intermediaries, inspection and disciplinary proceedings, actions in case of default, and the code of conduct o SEBI (Prohibition of Insider Trading) Regulations, 2015 – Focuses on insider trading regulations, including the role of the compliance officer and the code of conduct o Prevention of Fraudulent and Unfair Trade Practices – Discusses regulations related to preventing fraudulent and unfair practices in the securities market and includes topics on investigation methods o Prevention of Money Laundering Act, 2002 – Highlights the main points of the PMLA, 2002, and SEBI's circular on Anti-Money Laundering/Counter Financing of Terrorism (AML/CFT) o SEBI (KYC Registration Agency) Regulations, 2011 – Discusses the registration and obligations of KYC Registration Agencies (KRAs), including guidelines for intermediaries and in-person verification • Part B – Understanding Intermediary-Specific Regulations o SEBI (Foreign Portfolio Investors) Regulations, 2019 – Details regulations pertaining to foreign portfolio investors, including eligibility criteria, investment conditions, and code of conduct o SEBI (Stock Brokers) Regulations, 1992 – Covers various aspects of stock brokerage regulations, including direct market access, algorithmic trading, margin trading, and underwriting activities o SEBI (Merchant Bankers) Regulations, 1992 – Focuses on merchant banking regulations, substantial acquisition of shares, and takeovers o SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018 – Discusses the applicability of ICDR regulations, IPOs, rights issues, and the roles and responsibilities of merchant bankers o Depositories Act, 1996 – Covers the introduction, rights and obligations of depositories, enquiry and inspection procedures, and miscellaneous issues o SEBI (Depositories and Participants) Regulations, 2018 – Details registration, rights, obligations, and the code of conduct for depository participants o SEBI (Registrar to an Issue and Share Transfer Agents) Regulations, 1993 – Focuses on the roles, general obligations, and code of conduct for registrars to an issue and share transfer agents o SEBI (Research Analyst) Regulations, 2014 – Highlights the responsibilities, record maintenance, and role of the compliance officer for research analysts o SEBI (Investment Advisers) Regulations, 2013 – Discusses the general responsibilities, risk profiling, client-level segregation, and code of conduct for investment advisers o SEBI (Debenture Trustees) Regulations, 1993 – Details registration, responsibilities, code of conduct, and monitoring requirements for debenture trustees o SEBI (Credit Rating Agencies) Regulations, 1999 – Covers the registration, general obligations, appointment of compliance officers, and code of conduct for credit rating agencies o SEBI (Custodian) Regulations, 1996 – Discusses custodian services, registration, obligations, and the code of conduct for custodians. o Proxy Advisors – Provides an overview of the impact of proxy advisors on corporate governance, internal controls, procedural guidelines, and grievance redressal mechanisms

Taxmann's Analysis | SEBI Introduces Unit-based Employee Benefit Scheme for REITs and InvITs

Author : Taxmann
Publisher : Taxmann Publications Private Limited
ISBN 13 :
Total Pages : 20 pages
Book Rating : 4./5 ( download)

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Book Synopsis Taxmann's Analysis | SEBI Introduces Unit-based Employee Benefit Scheme for REITs and InvITs by : Taxmann

Download or read book Taxmann's Analysis | SEBI Introduces Unit-based Employee Benefit Scheme for REITs and InvITs written by Taxmann and published by Taxmann Publications Private Limited. This book was released on 2024-07-20 with total page 20 pages. Available in PDF, EPUB and Kindle. Book excerpt: This article examines the significant amendments to the regulations governing Real Estate Investment Trusts (REITs) and Infrastructure Investment Trusts (InvITs). The SEBI (InvITs) (Second Amendment) Regulations, 2024, and SEBI (REITs) (Second Amendment) Regulations, 2024, introduce new norms primarily focusing on implementing a unit-based employee benefit scheme called the 'Employee Unit Option Scheme.' The article covers the following key aspects: ‣ Definition and overview of the 'Employee Unit Option Scheme' ‣ Explanation of Liquid Assets ‣ New regulations for employee unit-based schemes in InvITs and REITs ‣ Applicability of the framework for unit-based employee benefit schemes ‣ Procedures for receiving units by Employee Benefit Trusts ‣ Methods of allotting units to Employee Benefit Trusts ‣ Role of the Nomination and Remuneration Committee ‣ Disclosure requirements for unit-based employee benefit schemes in annual reports ‣ Introduction of new schedules in SEBI regulations for REITs and InvITs

Taxmann’s Analysis | Promoting Investor’s Confidence – SEBI’s Move Enhances Transparency in Private Placement of Non-convertible Securities

Download Taxmann’s Analysis | Promoting Investor’s Confidence – SEBI’s Move Enhances Transparency in Private Placement of Non-convertible Securities PDF Online Free

Author : Taxmann
Publisher : Taxmann Publications Private Limited
ISBN 13 :
Total Pages : 12 pages
Book Rating : 4./5 ( download)

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Book Synopsis Taxmann’s Analysis | Promoting Investor’s Confidence – SEBI’s Move Enhances Transparency in Private Placement of Non-convertible Securities by : Taxmann

Download or read book Taxmann’s Analysis | Promoting Investor’s Confidence – SEBI’s Move Enhances Transparency in Private Placement of Non-convertible Securities written by Taxmann and published by Taxmann Publications Private Limited. This book was released on 2023-07-11 with total page 12 pages. Available in PDF, EPUB and Kindle. Book excerpt: SEBI vide Notification No. SEBI/LAD-NRO/GN/2023/135, Dated July 3, 2023, has notified the SEBI (Issue and Listing of Non-Convertible Securities) (Second Amendment) Regulations, 2023, bringing significant changes to the existing regulations. These amendments aim to enhance transparency, accountability and investor protection in the securities market. The key highlights of the amendment include the insertion of definitions of ‘Key Managerial Personnel’ and ‘Senior Management’, streamlining the roles and responsibilities within companies. Additionally, SEBI has merged disclosure requirements for public issues and private placements, simplifying the process for issuers. To ensure comprehensive disclosures, a new chapter has been introduced for issuers making private placements of non-convertible securities, emphasizing the filing of general information documents and subsequent key information documents. This promotes transparency and provides investors with timely information. The amendments shall be effective from 03.07.2023.

Taxmann's Impact Analysis | SEBI Board Meeting – April 30, 2024 | Paving the Way for Smarter Investments and Greater Flexibility

Author : Taxmann
Publisher : Taxmann Publications Private Limited
ISBN 13 :
Total Pages : 17 pages
Book Rating : 4./5 ( download)

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Book Synopsis Taxmann's Impact Analysis | SEBI Board Meeting – April 30, 2024 | Paving the Way for Smarter Investments and Greater Flexibility by : Taxmann

Download or read book Taxmann's Impact Analysis | SEBI Board Meeting – April 30, 2024 | Paving the Way for Smarter Investments and Greater Flexibility written by Taxmann and published by Taxmann Publications Private Limited. This book was released on 2024-05-04 with total page 17 pages. Available in PDF, EPUB and Kindle. Book excerpt: This article covers the key approvals made by the SEBI through its 205th Board Meeting. The proposals aim to promote market integrity and instil confidence among investors, thereby fostering growth and development in capital markets. The various proposals include: ‣ Introduction of a Framework for Unit-Based Employee Benefit Schemes for Employees of InvIT/REIT Managers ‣ Venture Capital Funds (VCFs) Can Now Migrate to AIF Regulations ‣ SEBI's Amendments to Issue and Listing of Non-Convertible Securities Regulations ‣ Simplified Disclosure of Financial Results for Entities with Only Listed Non-Convertible Securities ‣ Flexibility for Increased Participation by NRIs, OCIs, and Resident Indian Individuals in IFSC-based FPIs ‣ Enhanced Flexibility for Mutual Fund Investments in Group Companies of Sponsors ‣ AMCs to Put in Place a Structured Institutional Mechanism for the Identification and Deterrence of Potential Market Abuse ‣ Ease of Doing Business for Market Infrastructure Institutions (MIIs)

Sebi Manual 16Th / Ed.

Author :
Publisher :
ISBN 13 : 9788171947508
Total Pages : 2631 pages
Book Rating : 4.9/5 (475 download)

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Book Synopsis Sebi Manual 16Th / Ed. by :

Download or read book Sebi Manual 16Th / Ed. written by and published by . This book was released on 2010-09-01 with total page 2631 pages. Available in PDF, EPUB and Kindle. Book excerpt: Volume I Contains: * SEBI (Issue of Capital and Disclosure Requirements) Regulations 2009 * SEBI Act * Securities Contracts (Regulation) Act, 1956 with Rules/Regulations * SEBI Rules, Regulations, Circulars & Guidelines for o Bankers to an Issue o Buy Back of Securities o Collective Investment Scheme o Corporate Governance o Credit Rating Agency o Custodian o Debenture Trustees o Depositories o Delisting of Securities o Derivatives o FII o Insider Trading o Investor Protection o Lead Managers o Merchant Bankers Volume II Contains: * SEBI Rules, Regulations, Circulars & Guidelines for o Mutual Funds o Portfolio Manager o Registrar to an Issue/Share Transfer Agents o Securities Appellate Tribunal o Securities Lending and Borrowing o Securities Transaction Tax o Straight Through Processing Service o Stock Broker/Sub-Broker o Takeover Regulations o Sweat Equity o Transfer of Shares o Unfair Trade Practices o Venture Capital Funds o Listing Agreements