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Annexure A - Recent requirements from October 01, 2017 to July 31, 2018


Item No. Subject SEBI & NSE Circular No. / Download No.
1.1 Easing of access norms for investment by FPIs Download Ref. No.: NSE/INSP/37124 dated March 06, 2018 SEBI Circular CIR/IMD/FPIC/26/2018 dated February 15, 2018 (https://www.sebi.gov.in/legal/circulars/feb-2018/easing-of-access- norms-for-investment-by-fpis_37866.html)
1.2 Clarification in respect of investment by certain category II FPIs Download Ref. No.: NSE/INSP/37436 dated April 05, 2018 SEBI Circular CIR/IMD/FPIC/47/2018 dated March 13, 2018 (https://www.sebi.gov.in/legal/circulars/mar-2018/clarifications-in- respect-of-investment-by-certain-category-ii-fpis_38198.html)
1.3 Know Your Client requirements for Foreign Portfolio Investors (FPIs) Download Ref. No.: NSE/INSP/37538 dated April 16, 2018 SEBI Circular CIR/IMD/FPIC/CIR/P/2018/64 dated April 10, 2018 (https://www.sebi.gov.in/legal/circulars/apr-2018/know-your-client- requirements-for-foreign-portfolio-investors-fpis-_38618.html)
Item No. Subject SEBI & NSE Circular No. / Download No.
2.1 Prevention of Unauthorised Trading by Stock Brokers Download Ref. No.: NSE/INSP/36419 dated December 01, 2017 NSE/INSP/36749 dated January 15, 2018 NSE/INSP/37301 dated March 26, 2018 NSE/INSP/37965 dated June 08, 2018
    SEBI circular CIR/HO/MIRSD/MIRSD2/CIR/P/2017/124 dated November 30, 2017 (https://www.sebi.gov.in/legal/circulars/nov-2017/clarification-to-circular-on-prevention-of-unauthorised-trading-by-stock-brokers_36775.html)
    CIR/HO/MIRSD/MIRSD2/CIR/P/2018/09 dated January 11, 2018 (https://www.sebi.gov.in/legal/circulars/jan-2018/prevention-of-unauthorized-trading-by-stock-brokers_37363.html)
    SEBI/HO/MIRSD/DOP1/CIR/P/2018/54 dated March 22, 2018
    (https://www.sebi.gov.in/legal/circulars/mar-2018/circular-on-prevention-of-unauthorized-trading-by-stock-brokers-_38365.html)   SEBI/HO/MIRSD/DOSR1/CIR/P/2018/93 dated June 06, 2018 (https://www.sebi.gov.in/legal/circulars/jun-2018/amendments-to-prevention-of-money-laundering-maintenance-of-records-rules-2005_39207.html)
2.2 SEBI Master circular for Stock Brokers SEBI/HO/MIRSD/DOP1/CIR/P/2018/87 dated June 01, 2018 (https://www.sebi.gov.in/legal/master-circulars/jun-2018/master-circular-for-stock-brokers_39166.html) Download Ref. No.: NSE/INSP/38317 dated July 13, 2018
Item No. Subject SEBI & NSE Circular No. / Download No.
3.1 Issuance of Annual Global Statement Download Ref. No.: NSE/INSP/36731 dated January 11, 2018
3.2 Issuance of Daily Margin Statement Download Ref. No.: NSE/INSP/36786 dated January 19, 2018
3.3 Guidelines/clarifications on Margin collection & reporting Download Ref. No.: NSE/INSP/38154 dated June 27, 2018
3.4 Discontinuation of acceptance of cash by Stock Brokers Download Ref. No.: NSE/INSP/38322 dated July 13, 2018   SEBI/HO/MIRSD/DOP/CIR/P/2018/113 dated July 12, 2018 (https://www.sebi.gov.in/legal/circulars/jul-2018/discontinuation-of-acceptance-of-cash-by-stock-brokers_39534.html)
Item No. Subject SEBI & NSE Circular No. / Download No.
4.1 Format of contract note for cross currency Derivatives contracts Download Ref. No.: NSE/INSP/37471 dated April 09, 2018

 

Updated on: 05/02/2020
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