October 14, 2011

N O T I C E

 

 

It is to bring to the notice of members, investors and other relevant market intermediaries the content of the below mentioned notice issued by SEBI:

 

 

S. No

Circular Ref. No.

Subject

Link

1

MRD/DoP/SE/Cir-10/2008

Comprehensive Risk Management Framework for the cash market

MRDDoP/SE/Cir-10/2008

2

MRD/DoP/SE/Cir-13/2008

Comprehensive Risk Management Framework for the cash market

MRD/DoP/SE/Cir-13/2008

3

MRD/DoP/SE/Cir-18/2008

Margining of institutional trades in the cash market

MRD/DoP/SE/Cir-18/2008

4

ISD/AML/CIR-1/2008

Anti Money Laundering (AML) standards /Combating Financing of Terrorism (CFT) /Obligations of Securities Market Intermediaries under Prevention of Money Laundering Act,

2002 and Rules framed there-under- Master Circular on AML/CFT

ISD/AML/CIR-1/2008

5

MRD/DoP/SE/Cir-07/2009

Abolition of no-delivery period for all types of corporate actions

MRD/DoP/SE/Cir-07/2009

6

MRD/DSA/SE/Cir- 12/09

Prior approval for re-commencing trading on the Stock Exchange

MRD/DSA/SE/Cir- 12/09

7

ISD/AML/CIR-2/2009

Combating Financing of Terrorism (CFT) under Unlawful Activities

(Prevention) Act, 1967 Directions to stock exchanges, depositories and

all registered intermediaries

ISD/AML/CIR-2/2009

8

SEBI/CFD/DIL/ASBA/1/2009/30/12

Applications Supported by Blocked Amount (ASBA) facility in public issues and rights

issues.

SEBI/CFD/DIL/ASBA/1/2009/30/12

9

SEBI/MRD/DoP/SE/Dep/Cir- 01 /2010

Review of Securities Lending and Borrowing (SLB) Framework

SEBI/MRD/DoP/SE/Dep/Cir- 01 /2010

10

SEBI/MIRSD/Cir.No.02/2010

Mandatory requirement of in-person verification of clients

SEBI/MIRSD/Cir.No.02/2010

11

SEBI/CFD/DIL/LA/1/2010/05/03

Disclosure of details of the allottees in the Qualified

Institutional Placements (QIP) made by issuer company

SEBI/CFD/DIL/LA/1/2010/05/03

12

CIR/MRD/DP/15/2010

Margining of institutional trades in the cash market

CIR/MRD/DP/15/2010

13

CIR/MRD/DP/ 20 /2010

Account Maintenance Charges collected upfront on annual/ half

yearly basis on demat accounts

CIR/MRD/DP/ 20 /2010

14

CIR/MRD/DP/ 22 /2010

Mandatory requirement of Permanent Account Number (PAN

CIR/MRD/DP/ 22 /2010

15

CIR/MRD/DP/ 30 /2010

Clarification on submission of Audit report under Regulation 55A of

SEBI (Depositories and Participants) Regulations, 1996

CIR/MRD/DP/ 30 /2010

16

CIR/MRD/DP/ 33 /2010

Review of Securities Lending and Borrowing (SLB) Framework

CIR/MRD/DP/ 33 /2010

17

CIR/MRD/DP/4/2011

Limitation period for filing an arbitration reference

CIR/MRD/DP/4/2011

 

All are requested to take note of the provisions of the above mentioned circulars. Also kindly note that the various provisions of the above mentioned circulars will be effective immediately.

 

 

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