SEBI Update – Safer participation of retail investors in Algorithmic trading
Securities and Exchange Board of India (SEBI) issued a circular aimed at enabling safer participation
SEBI Update – Framework for Monitoring and Supervision of System Audit of Stock Brokers (SBs) through Technology based Measures.
The following guidelines shall be prescribed for the conduct of system audit of Stock Brokers
IBBI Update -Insolvency and Bankruptcy Board of India amends the Insolvency and Bankruptcy Board of India (Liquidation Process) Regulations, 2016 and Insolvency and Bankruptcy Board of India (Voluntary Liquidation Process) Regulations, 2017
Auction Process a. Prospective bidders are now given more time to participate in the auction
RBI Update – Framework for imposing monetary penalty and compounding of offences under the Payment and Settlement Systems Act, 2007
The Reserve Bank of India (RBI) has introduced a revised framework for imposing monetary penalties
SEBI Update – (1) Parameters for external evaluation of Performance of Statutory Committees of Market Infrastructure Institutions (MIIs); and (2) Mechanism for internal evaluation of Performance of MIIs and its Statutory Committees
SEBI came out with guidelines for the evaluation of the performance of statutory committees of Market
RBI Update – Private Placement of Non-Convertible Debentures (NCDs) with maturity period of more than one year by HFCs – Review of guidelines
It has been decided that the Guidelines on Private Placement of NCDs (with maturity more
SEBI Update – Details/clarifications on provisions related to association of persons regulated by the Board, MIIs, and their agents with persons engaged in prohibited activities
Securities and Exchange Board of India (Intermediaries) (Amendment) Regulations, 2024, Securities Contracts (Regulation) (Stock Exchanges
SEBI Update – Format of Due Diligence Certificate to be given by the DTs
SEBI vide notification dated July 10, 2024, amended the SEBI (Issue and Listing of Non
SEBI Update – Development of Web-based portal: iSPOT(Integrated SEBI Portal for Technical glitches) for reporting of technical glitches.
SEBI has stipulated the Standard Operating Procedure for handling of technical glitches by Market Infrastructure
RBI Update – Guidelines on Settlement of Dues of borrowers by ARCs
Please find the following update under RBI Policy Framework ARCs must have a Board-approved policy