SEBI CIRCULARS

CHAPTER TOPIC Pg. No.

CLARIFICATION ON APPLICABILITY OF REGULATION 40(1) OF SEBI (LODR) REGULATIONS, 2015 TO OPEN OFFERS, BUYBACKS AND DELISTING OF SECURITIES OF LISTED
LODR 1
ENTITIES

LODR SEBI (LODR) (SECOND AMENDMENT) REGULATIONS, 2020 (AUGUST 5, 2020) 1

LODR RE-LODGEMENT OF TRANSFER REQUESTS SHARES 2

LODR SEBI (LODR) (THIRD AMENDMENT) REGULATIONS, 2020 (OCTOBER 8, 2020) 2

LODR NON-COMPLIANCE WITH PROVISIONS RELATED TO CONTINUOUS DISCLOSURES 3

LODR E-VOTING FACILITY PROVIDED BY LISTED ENTITIES 4

Insider Trading ALLOWING OFFER FOR SALE (OFS) AND RIGHTS ENTITLEMENTS (RE) TRANSACTIONS DURING TRADING WINDOW CLOSURE PERIOD. 5

REPORTING TO STOCK EXCHANGES REGARDING VIOLATIONS UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 RELATING TO THE CODE OF
Insider Trading 5
CONDUCT (COC).
AUTOMATION OF CONTINUAL DISCLOSURES UNDER REGULATION 7(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 - SYSTEM DRIVEN
Insider Trading 6
DISCLOSURES.

Insider Trading SEBI (PROHIBITION OF INSIDER TRADING) (SECOND AMENDMENT) REGULATIONS, 2020 (OCTOBER 29, 2020) 7

Mutual Funds TRANSACTION IN CORPORATE BONDS/COMMERCIAL PAPERS THROUGH RFQ PLATFORM AND ENHANCING TRANSPARENCY PERTAINING TO DEBT SCHEMES 8

Mutual Funds RESOURCES FOR TRUSTEES OF MUTUAL FUNDS 9

Mutual Funds MASTER CIRCULAR FOR MUTUAL FUNDS 9

Mutual Funds ASSET ALLOCATION OF MULTI CAP FUNDS 10

Mutual Funds CIRCULAR ON MUTUAL FUNDS 11

Mutual Funds REVIEW OF DEBT AND MONEY MARKET SECURITIES TRANSACTIONS DISCLOSURE 12

Mutual Funds REVIEW OF DIVIDEND OPTION(S) / PLAN(S) IN CASE OF MUTUAL FUND SCHEMES 12

Mutual Funds PRODUCT LABELING IN MUTUAL FUND SCHEMES – RISK-O-METER 14

Mutual Funds GUIDELINES ON INTER SCHEME TRANSFERS OF SECURITIES 15

Mutual Funds SEBI (MUTUAL FUNDS) (SECOND AMENDMENT) REGULATIONS, 2020 (OCTOBER 29, 2020) 16

Mutual Funds ENHANCEMENT OF OVERSEAS INVESTMENT LIMITS FOR MUTUAL FUNDS 17

Mutual Funds INTRODUCTION OF “FLEXI CAP FUND” AS A NEW CATEGORY UNDER EQUITY SCHEMES 17

Mutual Funds CIRCULAR ON MUTUAL FUNDS 18

Capital Markets MASTER CIRCULAR FOR COMMODITY DERIVATIVES MARKET 19

Capital Markets COLLECTION AND REPORTING OF MARGINS BY TRADING MEMBER (TM) / CLEARING MEMBER (CM) IN CASH SEGMENT – CLARIFICATION 19

LISTING AND TRADING OF UNITS OF INFRASTRUCTURE INVESTMENT TRUSTS (INVITS) AND REAL ESTATE INVESTMENT TRUSTS (REITS) ON RECOGNIZED STOCK
Capital Markets 20
EXCHANGES IN INTERNATIONAL FINANCIAL SERVICES CENTRES (IFSC)
RECOVERY OF ASSETS OF DEFAULTER MEMBER AND RECOVERY OF FUNDS FROM DEBIT BALANCE CLIENTS OF DEFAULTER MEMBER FOR MEETING THE OBLIGATIONS
Capital Markets 21
OF CLIENTS / STOCK EXCHANGE / CLEARING CORPORATION

Capital Markets SEBI (ALTERNATIVE INVESTMENT FUNDS) (AMENDMENT) REGULATIONS, 2020 (OCTOBER 19, 2020) 22

Capital Markets PROCESSING OF APPLICATIONS FOR REGISTRATIONS OF AIFS AND LAUNCH OF SCHEMES 23