Madhabi Puri was appointed as a chairperson of the Securities and Exchange Board of India(SEBI) on 28th February. When she was a whole-time member at SEBI, she was cracking down on insider trading and other violations. An analysis of key investigations conducted during the tenures of different heads shows marked differences in priorities. Some of […]
CKYC Communique exempts the reporting entities from uploading Self Help Groups (SHGs) and Joint Liability Groups (JLGs) related KYC records to CKYCR
CKYC Communique exempts the reporting entities from uploading Foreign Portfolio Investor’s related KYC records to CKYCR.
CKYC Communique necessitates all the reporting entities to issue a KYC Identifier to each client in a written format and specifies a format to be followed for the same.
In this circular, the Know Your Customer (KYC) guidelines have been revisited in the context of the recommendations made by the Financial Action Task Force (FATF) on Anti Money Laundering (AML) standards and on Combating Financing of Terrorism (CFT)
All reporting entities under the Insolvency and Bankruptcy Board of India (IBBI), submitting Information utility compliance to NESL need to now migrate from form C V2.3 to form C V2.5 by 30th November 2021.
NSDL published a circular on ‘ ‘Surveillance Obligation of Depository participants’ on 15th July 2021. Refer to the circular for detailed information
CDSL published a circular on ‘ ‘Surveillance Obligation of Depository participants’ on 15th July 2021. Refer to the circular for detailed information
The Bombay Stock Exchange published a circular on ‘Surveillance Obligation of Trading members’ as of 01st July 2021’ Refer to the circular for detailed information
The National Stock Exchange and Bombay Stock Exchange published a circular on ‘Surveillance Obligation of Trading members in Depository participants as on 01st July 2021’ Refer to the circular for detailed information
