1. Sebi on overdrive through 2014 to enhance capital markets

Sebi on overdrive through 2014 to enhance capital markets

In what may have been a very busy calendar 2014 for the securities market regulator...

By: | Mumbai | Published: December 25, 2014 12:53 AM

In what may have been a very busy calendar 2014 for the securities market regulator, the Securities and Exchange Board of India (Sebi) introduced a slew of measures to enhance the working of capital markets, protect investors, and even invoked physical penalty by way of imprisonment.

The prominent rules and regulations introduced by Sebi include Prevention of Insider Trading and regulations to determine the workings of research analysts (Research Analysts) Regulations. Moreover, Sebi also created a new class of foreign investors (foreign portfolio investors) to streamline the framework of overseas funds. The Securities Law (Amendment) was passed through an ordinance by both houses of the Parliament in early August, granting investigative and enforcement powers to curb collective investment schemes and ensure various methods to recover funds.

“Sebi has pushed more enforcement than any other regulator in the world,” said Sandeep Parekh, former ED of Sebi and the founder of Finsec Law Advisors. Sebi was also empowered with search and seizure operations during investigations, allowing the regulator to issue warrants at the time of investigation, while pursuing investor protection.


Foreign Portfolio Investors Regulations
Settlement of Administrative and Civil Proceedings Regulations
Procedure for Search and Seizure Regulations
Collective Investment Schemes (Amendment) Regulations
Investor Protection and Education fund (Amendment) Regulations
Issue and Listing of Debt Securities (Amendment) Regulations
Issue of Capital and Disclosure Requirements (Amendment) Regulations, 2014
New Corporate Governance Norms
Mutual Fund Policy, recommending tax exemptions to investments in long-term MF products
KYC Issue of Capital and Disclosure Requirements (Amendment) Regulations
Recommendations of public sector banks as ‘public shareholders’ in stock exchanges
Aligns Clause 49 and 35B of Listing Agreement with Companies Act 2013.
Highlights role of independent directors, revises clause pertaining to related party transactions
Payment of Fees (Amendment) Regulations
Mutual Funds (Amendment) Regulations
Approach paper on draft (Listing Obligations and Disclosure Requirements) Regulations
Released discussion paper to review delisting regulations in India
Extends 25% minimum public shareholding to public sector companies
Extends use of OFS mechanism to top 200 companies versus 100 earlier
Corrects anomaly in IPO of companies with less than R4,000 crore market cap
Allows sharing of KYC details with other financial institutions
Securities Laws (Amendment) Act 2014
New Changes to Related Party Transaction Norms
Issue of Capital and Disclosure Requirements (Second Amendment) Regulations
Research Analysts Regulations
Real Estate Investment Trusts Regulations
Infrastructure Investment Trusts Regulations
Share Based Employee Benefits Regulations
Stock Brokers and Sub-brokers (Amendment) Regulations
Prevention of Insider Trading
Delisting of Equity Shares (Amendment) Regulations
Converts Listing Agreements into Regulations
Mutual Funds (Amendment) Regulations
Approves single registration to Depository Participants (DPs)
Proposes e-IPO mechanism
Sends one person to jail for default of payment
Bans 260 entities from securities market for suspected money laundering

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