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https://www.scconline.com/blog/post/tag/SEBI/
The Union Cabinet has approved the proposal of the Securities & Exchange Board of India (SEBI) to sign an updated Alternative Investment Fund Managers Directive (AIFMD) MoU signed between SEBI and Financial Conduct Authority (FCA), UK, pursuant to UK’s exit from the European Union on 31-01-2020.. Major impact. The UK exited the EU on 31 st January 2020.
https://www.goodreturns.in/personal-finance/investment/2019/07/how-to-file-complaint-against-a-stock-broker-or-a-listed-company-online-983977.html
While the first point of addressing your concern has to be your stock broker, you can file a complaint against the broker or investment advisor with the NSE (National Stock Exchange) or SEBI ...
https://www2.deloitte.com/content/dam/Deloitte/il/Documents/financial-services/fatca_faqs_fsi_services.pdf
FATCA Frequently Asked Questions (FAQs) 3 payments it receives (and become a participating FFI). Generally, an FFI Agreement requires a determination of which accounts are “United States accounts” (a defined term), compliance with verification and due diligence procedures, annual reporting on those United States accounts to the
https://blogs.compliancecalendar.in/sebi-portfolio-managers-regulations-2020-5590
Jan 22, 2020 · Compliance Calendar seeks to provide research based blogs/articles and experts views on various critical topics and burning issues completely free with zero subscription cost while at the same time, we insist on providing up-to-date information to our corporate fraternity and professionals like CS/CA/CMA/Lawyers, Students and the layman.
https://www.mondaq.com/india/CorporateCommercial-Law/254724/SEBI-Notifies-Regulations-For-Issue-And-Listing-Of-Non-Convertible-Redeemable-Preference-Shares
From a foreign investment perspective, only equity shares and instruments fully and mandatorily convertible into equity could be held by a non-resident under the foreign direct investment ("FDI") regime, and since there was no regime for listing of NCRPS, foreign portfolio investment in NCRPS was not possible. In 2009, SEBI issued the SEBI ...Author: Nikhil Joseph
https://mfworld.in/chapter-3-legal-and-regulatory-environment/
Oct 06, 2018 · Where can one file appeal against SEBI’s ruling? A person aggrieved by SEBI’s ruling can file an appeal with Securities Appellate Tribunal (SAT). 3.1.2 Self Regulatory Organisations (SRO) What is an SRO and what does it do? The concept of Self-Regulatory Organisations is more common in developed countries. In India too, there are SROs.
https://www.indiainfoline.com/article/research-articles-personal-finance/cheque-dishonoured-a-step-by-step-guide-for-legal-recourse-113111500895_1.html
Cheque dishonoured: A step-by-step guide for legal recourse The dishonour of cheque is a criminal offence and is punishable by imprisonment up to two years or with monetary penalty or with both
https://www.icsi.edu/media/webmodules/SLCM.pdf
The Regulatory Body Securities Exchange Board of India (SEBI) ... • How to file a complaint in SCORES site; ... dividend declared but not paid. Listing Agreement An agreement which has to be entered into by companies when they seek listing for their shares on a stock exchange. Companies are called upon to keep the
https://taxguru.in/company-law/process-get-back-shares-from-iepf.html
Aug 25, 2019 · Provisions of Investor Education and Protection fund: Transfer of Dividend: As MCA has issued Investor Education and Protection Fund Authority Rules, 2017. As per these rules Any money transferred to the Unpaid Dividend Account of a company in pursuance of this section which remains unpaid or unclaimed for a period of seven years (7 year and 37 days from the date of declaration of dividend ...
https://www.bseindia.com/downloads/invdesk/file/INVESTOR%20GUIDE%20BOOK.doc
The company can make an issue only after receiving observations from SEBI on the offer document, and incorporating all changes suggested by SEBI. The validity of the observation letter is 12 months. The draft offer document filed is also placed by SEBI on its website for public comments.
https://thecompaniesact2013.com/sebi.php?id=13
9.Deposit of amount of penalty. Where an appeal is preferred by a person under section 15T of the Act, such appeal shall not be entertained by the Appellate Tribunal unless such person has deposited with the Appellate Tribunal the amount of penalty imposed by the Adjudicating Officers.
https://mutualglobe.com/category/education/page/10/
May 20, 2019 · Offer Document is a legal document prescribed by SEBI. SEBI requires that all the information needed for informed decision making should be available on the Offer Document like – Nature of the scheme, Investment objective, Investment strategy, Terms of Offer, Liquidity, etc. Offer Document provides fundamental attributes of the Scheme like
https://mafiadoc.com/company-law-objective-questions_5a233b321723dd3c33c501a7.html
13. U/s. 250 A, if a dividend declared by a company has not been paid or claimed within _____ of the declaration, the same shall be within _____ days thereafter i.e. 7 days after the expiry of the 30 days from the date of declaration. 14. Once a dividend is declared a _____ has the right to claim dividend against the company. 15.
https://www.mondaq.com/india/CorporateCommercial-Law/247940/SEBI-Walks-The-Talk-On-Minimum-Public-Shareholding-Issues-Directions-Against-Promoters-And-Directors
The Securities and Exchanges Board of India has vide the order dated June 4, 2013 issued directions to the promoters of 105 companies that failed to ensure compliance with the minimum public shareholding requirement under the Securities Contracts Regulations, 1957 within the …Author: Nikhil Joseph
https://www.wishfin.com/mutual-fund/enjoy-rights-dont-disregard-duties-mutual-fund-investor/
Enjoy the rights but don’t disregard your duties as a mutual fund investor Mutual Fund SIP Invest 702 views Just like you enjoy privileges and have some duties being a citizen of the country, similarly a mutual fund investor also holds rights and has certain duties to take care of.
https://thecompaniesact2013.com/sebi.php?id=16
SEBI Regulations. SEBI (Buy Back) Regulation 2015 ... audited accounts of the issuer in respect of those financial years for which such accounts are disclosed in the offer document does not exceed five per cent. of the net profit or loss after tax of ... The issuer shall file the offer document with the Board and the recognised stock exchanges ...
https://www.rbi.org.in/Scripts/FAQView.aspx?Id=26
April 14, 2015 Dear All Welcome to the refurbished site of the Reserve Bank of India. The two most important features of the site are: One, in addition to the default site, the refurbished site also has all the information bifurcated functionwise; two, a much improved …
http://docshare.tips/mutual-fund-exam-preparation_584c1002b6d87f9da58b4daf.html
The offer document i. contains the terms of issue j. gives no information relevant for making an investment decision k. is not the operating document describing the scheme l. cannot be called a reference document 208. SEBI does not require the following to be included in the offer document issued by a mutual fund m. details of the Sponsor and ...
https://www1.nseindia.com/content/circulars/cmpt11274.htm
In case the 'new security' is not available for the reason of such security not being introduced for trading on the Exchange / trading being discontinued on the Exchange on account of full redemption, company objections will be required to be reported in the 'deleted security' and the close out price will be at the last 26 weeks average trade ...
https://www.jagoinvestor.com/2010/09/register-complaints-to-irda-regarding-insurance-matters.html
Sep 22, 2010 · For the last 6 months or so I am receiving calls on my land line No. which is in the name of my spouse. ... Better file a complaint agsinst them with consumer forum , if that is not as per terms and conditions ... All this is clearly written in the policy document , not indirectly. Check with the company now or file a case against them. Reply ...
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