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SEBI Regulations and Guidelines Overview

The document outlines various regulatory frameworks and guidelines related to mutual funds, market intermediaries, research analysts, and alternative investment funds as per SEBI provisions. It also covers regulations pertaining to non-banking financial companies, payment systems, and credit rating agencies, along with relevant case studies and legal precedents. Additionally, it includes procedural guidelines for proxy advisories and delisting regulations, emphasizing the importance of compliance and governance in financial markets.

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Deep Sanghani
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10 views2 pages

SEBI Regulations and Guidelines Overview

The document outlines various regulatory frameworks and guidelines related to mutual funds, market intermediaries, research analysts, and alternative investment funds as per SEBI provisions. It also covers regulations pertaining to non-banking financial companies, payment systems, and credit rating agencies, along with relevant case studies and legal precedents. Additionally, it includes procedural guidelines for proxy advisories and delisting regulations, emphasizing the importance of compliance and governance in financial markets.

Uploaded by

Deep Sanghani
Copyright
© All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as DOCX, PDF, TXT or read online on Scribd

UNIT – 5

As per Course outline


1. SEBI Provisions with respect to Mutual Funds( 1996): R 7, 7A,7B,26,28,29,30,31
2. Market Intermediaries Provisions 2008: Reg 2(3), 3-13, code of conduct.
3. Research Analyst Regulations, 2014: Reg 2(h),(u),(v), (w), 3,5,7,8,15,16,24,32, Schedule
III
UNIT – 6
Procedural Guidelines for Proxy Advisories, dt. 3rd August 2020.- r/w R 23 of SEBI Analyst
Reg. 2014
Portfolio Managers Regulations,2020 – R 2(fa), (g), (o), 7, 9, 19, 21, 23, Sch III – Code of
Conduct
Alternate Investment Funds Regulations, 2012 – R2(ab), (b), (pa), ®, (s), (t), (z), (za), 3, 9,
10, 12, 13, 16(1)(a) & (aa), 17(a), 18(a), (aa), (ab), 19A, 19D, 24A
Collective Investment Scheme (CIS) – S11AA of SEBI ACT
UNIT – 7
As per course outline and also covered u/U6 – AIF Reg.
UNIT – 8
General NBFCs – Ch-III B Reg of NBFC 45-IA of RBI Act
Microfinance Companies – RBI Directions 3, 7, 7.1, 7.4, 10
Peer to Peer Lending – 6, 7, 13 with capital adequacy ratios
UNIT – 9
Banking Regulation Act – S 12, 12A, RBI Circular
Commercial Papers Directions 2017 – D 2 – 6.2
Convertible Notes – Foreign Exchange Management (Non-Debt Instruments) Rules, 2019 –
2(c), 18
UNIT – 10
Buy back Regulations 2018 – 2(n), 5, 6
S68 – 70 of CA 2013
UNIT 11
SEBI (Delisting of Equity Shares) Regulation 2021
4, 10, 11, 12, 20A, 21(a), 32, 33, 34, 40
Money Tender Offers: Buy back, delisting & 5A SAST
UNIT – 12
Payment and Settlement Systems Act, 2007 – 3-9, 24, 26
Case Study: Airtel Payment Bank.
The two regulations made under the Act through RBI are Board for Regulation and
Supervision of Payment and Settlement Systems Regulations, 2008 and the Payment and
Settlement Systems Regulations, 2008. – OVERVIEW
UNIT – 13
SEBI (ICDR) Regulations, 2018 – R. 2(c), (x), (oo), (pp), (vv), 3, 5, 6, 14, 16, 17, 32, 45,
small boards: 229(1)(2), 267, 276, 277
296-297 - penalty
UNIT – 14
SEBI (FUTP) Regulations, 2003 – 2(b), (c), 3, 4(1)(a) – company fraud, 4(2)(a)- spoofing,
(q)- front running, (d, e, f, n, r)- market manipulation, (s)- mis-selling, 11&12 - penalty
SEBI (LODR), 2015- 4, 29, 30, 30(4), 30(6), 30A, 31, 33(3), 42
SEBI (PIT) 2015- 2(d), (g), (n), 3, 7, 7(A)(D)
Sch: B – 4, 10, 12
UNIT – 15
Credit Rating Agencies Regulations,1999 – 2(h), (q), 4, 5(c), 3rd Sch, Code of Conduct
Case law- Brickworth, Jindal v ICRA, Delhi HC
UNIT – 16
A. SEBI Informal Guidance – Entire circular important – 4, 5, 8, 12, & 14 – [Link]
Case – Arbutus Consultancy LLP v SEBI – SAT 2018
B. SEBI Settlement and Proceeding Regulation 2018 – 3, 4, 5, 9, 10, 19 r/w S15J of
SEBI Act
C. SEBI Compounding in Criminal Cases – 24A
Prakash Gupta v SEBI
D. SEBI Appeals –
a. Civil from order of the Board/WTM/AO: to SAT (S- 15K)
From SAT Appeal to SC 15Z
b. Criminal – 26B, trial, 26C- Appeal & Revision HC to SC

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