Publishing Investor Charter and Disclosure of Investor Complaints by Merchant Bankers on their Websites for private placement of units by InvITs proposed to be listed
December 16, 2021 To, All Registered Merchant BankersMadam/Sir 1. With a view to provide investors relevant information about the primary market issuances by InvITs, an Investor Charter has been prepared…
Clarifications with respect to Circular dated November 03, 2021, on ‘Common and simplified norms for processing investor’s service request by RTAs and norms for furnishing PAN, KYC details and Nomination’
December 14, 2021 ToAll registered Registrars to an Issue and Share Transfer Agents (RTA)All Listed Companies through Recognized Stock ExchangesRecognized Stock ExchangesAll Recognized DepositoriesDepository Participants through Depositories 1. SEBI, vide…
Publishing Investor Charter and disclosure of Investor Complaints by Investment Advisers on their websites/mobile applications
December 13, 2021 To, All Investment Advisers Dear Sir/Madam, 1. In order to facilitate investor awareness about various activities which an investor deals with while availing the services provided by…
Publishing of Investor Charter and disclosure of Investor Complaints by Research Analysts on their websites/mobile applications
December 13, 2021 To,All Research Analysts Dear Sir / Madam, 1. In order to facilitate investor awareness about various activities which an investor deals with while availing the services provided…
Publishing of Investor Charter and disclosure of Investor Complaints by Portfolio Managers on their websites
December 10, 2021 To,All Portfolio Managers Dear Sir / Madam, 1. With a view to enhancing awareness of investors about the various activities which an investor deals with while availing…
Publishing Investor Charter and disclosure of Investor Complaints by Mutual funds on their websites and AMFI website
December 10, 2021 To,All Mutual Funds (MFs)/Asset Management Companies (AMCs)/Trustee Companies/ Board of Trustees of Mutual Funds/Association of Mutual Funds in India (AMFI) Dear Sir/Madam, 1) SEBI vide Circular No.…
Publishing Investor Charter and Disclosure of complaints by AIFs
December 10, 2021 To, All SEBI registered Alternative Investment Funds (AIFs) 1. With a view to providing relevant information to investors about the various activities pertaining to AIFs, an Investor…
Circular on Mutual Funds
December 10, 2021 All Mutual Funds (MFs)/Asset Management Companies (AMCs)/Trustee Companies/ Board of Trustees of Mutual Funds/Association of Mutual Funds in India (AMFI) Sir / Madam, 1. Usage of pool…
Transaction in Corporate Bonds through Request for Quote platform by Portfolio Management Services (PMS)
December 09, 2021 To, All Portfolio Managers, Sir / Madam 1. In order to enhance transparency pertaining to debt investments by Portfolio Management Services (PMS) in Corporate Bonds (CBs) and…
Publishing Investor Charter and disclosure of Investor Complaints by Stock Brokers on their websites
December 02, 2021 To, All Recognized Stock ExchangesStock Brokers through Recognized Stock Exchanges Dear Sir/Madam, 1) In order to facilitate investor awareness about various activities which an investor deals with…