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ANNEXURE - Form of Annual Report - Securities and Exchange Board of India (Annual Report) Rules, 2021

Extract

..... Trends Observed (including details of applications for public issuance received during the financial year, median time taken for regulatory approvals on aggregate basis, fund raising under different categories, etc.) 3.3 Corporate Governance and Corporate Restructuring (Including details of Merger & Acquisition deals, regulatory action taken by Securities and Exchange Board of India (SEBI) for enhancing transparency and improving governance, open offers, issuance of observations on offer documents, details of listed companies being wound up, details of defaulter companies, regulatory co-ordination with Ministry of Corporate Affairs and consequent steps taken by the Board) 3.4 Intermediaries Associated Merchant Bankers, Bankers to an Iss .....

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ANNEXURE - Form of Annual Report - Securities and Exchange Board of India (Annual Report) Rules, 2021

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..... approval; how these products are relevant for market participants and for development of markets, etc.) C. Risk Management Measures (including details of market concentration - product and participants-wise, etc.) 4.3 Commodity Derivatives Markets A. Policy Developments B. Global Commodity Price Movements C. Price Discovery in Indian Markets and Prices of Select / Major Commodities Traded D. Market Activity and Trends Observed (including segment and participants-wise turnover; details of new products which sought regulatory approval and approved by SEBI; median time taken for such approval; how these products are relevant for market participants and for development of markets; commodities physically delivered through the platform; warehous .....

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ANNEXURE - Form of Annual Report - Securities and Exchange Board of India (Annual Report) Rules, 2021

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..... ions; summary comparison of the market development and investor protection measures taken by MIIs; development and regulation of business in MIIs, including their trading and settlement practices, etc.) 4.7 Intermediaries Associated Trading members / Brokers, Clearing Members, Investment Advisors, Research Analysts, Depository Participants, Approved Intermediaries (stock-lending schemes), Approved Intermediaries associated with Commodity market, KYC Registration Agencies, Custodians, Credit Rating Agencies, Proxy Advisors (including details such as new registrations, suspension / cancellation of registration, their market conduct-related issues, etc.) 5. Fund Management Activities 5.1 Mutual Funds A. Policy Developments B. Market Activity a .....

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ANNEXURE - Form of Annual Report - Securities and Exchange Board of India (Annual Report) Rules, 2021

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..... of unregistered CIS) 5.5 Real Estate Investment Trusts (REITs) and Infrastructure Investment Trusts (InvITs) A. Policy Developments B. Market Activity and Trends Observed (including categorized list of business trusts; funds raised; Net Asset Value, etc.) C. Risk Management Measures (NPAs and instances of diversion of funds, etc.) 5.6 Intermediaries Associated A. Distributors: Policy Developments 6. Foreign Portfolio Investors and Foreign Venture Capital Investors A. Policy Developments B. Market Activity and Trends Observed (AUM; product-wise investments; Foreign Portfolio Investment limits and their utilization, etc.) 7. Credit Rating Agencies (CRAs) A. Policy Developments B. Market Activity and Trends Observed (including details of fresh .....

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ANNEXURE - Form of Annual Report - Securities and Exchange Board of India (Annual Report) Rules, 2021

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..... -free helpline D. Investor assistance - replies to queries, etc. E. Issue of no objection certificates - post Initial Public Offerings F. Complaints/arbitrage cases with Stock Exchanges 8.4 Investor Protection Fund (IPF) A. Detailed report on inflow of money into IPF / beneficial owner protection funds of MIIs and SEBI B. Detailed report on utilization of the Fund 9. Technology 9.1 Cyber Security 9.2 Technology in Markets Ecosystem 9.3 Technology in SEBI 9.4 FinTech and RegTech initiatives 9.5 Other Developments 10. Regulatory Action, Supervision and Enforcement 10.1 Manner of overseeing markets A. Surveillance (details of surveillance mechanism and new initiatives to prevent the occurrence of irregularities/fraudulent practice; insider tra .....

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ANNEXURE - Form of Annual Report - Securities and Exchange Board of India (Annual Report) Rules, 2021

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..... gagements having implications for Indian Markets 11.2 Issues highlighted during various engagements 12. National Institute of Securities Markets (NISM) 12.1 Academic Programmes 12.2 Training Programmes 12.3 Research and Publications 12.4 Investor Education and Financial Literacy 12.5 Certification of associated persons in the securities market 12.6 Development and administration of the Continuing Professional Education Programme 12.7 Other Initiatives: A. Accreditation of certification exams B. Joint certifications C. Corporate Governance 12.8 Sources of Funds and Major Areas of Expenditure 13. Organizational Matters 13.1 SEBI Board 13.2 Audit Committee 13.3 SEBI Offices 13.4 Human Resource Activities (trainings, etc.) 13.5 Research Activit .....

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ANNEXURE - Form of Annual Report - Securities and Exchange Board of India (Annual Report) Rules, 2021

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