SEBI Update – Norms for Internal Audit Mechanism and composition of the Audit Committee of Market Infrastructure Institutions (Applicable – All Recognized Stock Exchanges All Recognized Clearing Corporations All Depositories ) May 05, 2025 0
SEBI Update – Review of provisions pertaining to Electronic Book Provider (EBP) platform to increase its efficacy and utility May 05, 2025 0
SEBI Update – Simplification of operational process and clarifying regarding the cash flow disclosure in Corporate Bond Database pursuant to review of Request for Quote (RFQ) Platform framework.(Applicable -Issuers who have listed Non-convertible Securities, Securitised Debt Instruments, Municipal Debt Securities and Commercial Paper; Recognised Stock Exchanges and Clearing Corporations; Registered Depositories; Stock Brokers and Depository Participants ) May 05, 2025 0
SEBI Update – Extension of timeline for implementation of provisions of SEBI circular dated December 17, 2024 on Measures to address regulatory arbitrage with respect to Offshore Derivative Instruments (ODIs) and FPIs with segregated portfolios vis-à-vis FPIs (Applicable-Foreign Portfolio Investors (“FPIs”) Designated Depository Participants (“DDPs”) and Custodians The Depositories ,The Stock Exchanges and Clearing Corporations May 05, 2025 0
SEBI Update – Rating of Municipal Bonds on the Expected Loss (EL) based Rating Scale (Applicable- All Registered Credit Rating Agencies (CRAs) All Registered Debenture Trustees, Issuers who have listed and/ or propose to list Non-Convertible Securities, Securitized Debt Instruments, Security Receipts, Municipal Debt Securities or Commercial Paper Recognized Stock Exchanges All Depositories registered with SEBI) May 05, 2025 0
Drafting and maintaining the secretarial registers and records including agenda, minutes of the board as well as committee meeting. Drafting and updating various departmental code e.g. Advertisement code/advising processes for ensuring the implementation Liaison with SEBI and AMFI Assistance in the Compliance functions of the company Checking the validity of legal documentation with regards to the corporate clients Checking the legal validity of security created in favor of the companies in case of secured debentures (in the case of secured debt investments) To review the services of Registrars and custodians on the basis of reports submitted by them and audit by random checking To perform Secretarial audit at regular interval. To carry on orientation programmers for various department. To co-ordinate with distributors for proper legal compliance To carry out inspection and audit of distributors and its various collection centers. Drafting, updating and vetting the offer documents / Addendum / Compliance Manuals in view of the risk management guidelines Preparing common offer documents/ SIDs Checking the AMFI certification of all the participants of MFs Confirming that all the reports are based on facts and are in compliance with the regulations Periodic due diligence and compliance audit for Mutual Funds To help to set up Mutual Fund including documentation and correspondence with SEBI Preparing KYC Forms for Compliance purpose as per SEBI and AMFI Regulations Verification of clients (KYC checking) Preparing the Code of Conduct for Employees and Directors of Mutual Funds Other Functions like Marketing / Investor Services/ Compliance documentation