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: 02/01/2023
