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Securities and Exchange Board of India (Annual Report) Rules, 2021 - G.S.R. 176 (E) - SEBI

Extract

..... these rules, unless the context otherwise requires,- (a) "Act" means the Securities and Exchange Board of India Act, 1992 (15 of 1992); (b) “Board” means the Securities and Exchange Board of India established under section 3 of the Act. (2) All other words and expressions used in these rules but not defined, and defined in the Act shall have the same meanings respectively assigned to them in the Act. 3. Form of Annual Report - (1) The Board shall submit a report to the Central Government giving a true and full account of its activities, policies and programmes during the previous financial year in the Annexure appended to these rules. (2) The report shall be submitted within ninety days after the end of each financial .....

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Securities and Exchange Board of India (Annual Report) Rules, 2021 - G.S.R. 176 (E) - SEBI

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..... an Issue, Underwriters, Debenture Trustees, Registrar to an Issue and Share Transfer Agents, etc. (including details such as new registrations, median time taken for approval of registrations on aggregate basis, number of applications rejected, suspension/cancellation of registration and regulation of activities of the intermediaries associated with the securities market.) 4. Secondary Markets 4.1 Cash Markets A. Equity Markets i) Policy Developments ii) Market Activity and Trends Observed (including segment and participants-wise performance; 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 marke .....

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Securities and Exchange Board of India (Annual Report) Rules, 2021 - G.S.R. 176 (E) - SEBI

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..... arehouse capacity utilization for exchange purposes, etc.) E. Risk Management Measures (including details of market concentration - product and participants-wise; contracts suspended / banned from trading, etc.) 4.4 Currency Derivatives Markets A. Policy Developments B. Global Currency Movements and Performance of Indian National Rupee C. Market Activity and Trends Observed (including segment and participants-wise performance; 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; Over-The-Counter market versus exchange traded markets, etc.) D. Risk Management Measures (including details of mar .....

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Securities and Exchange Board of India (Annual Report) Rules, 2021 - G.S.R. 176 (E) - SEBI

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..... ivity and Trends Observed (including schemes launched during the year, Assets Under Management (AUM); fund inflow / outflow; instrument / sector-wise deployment; scheme-wise returns (i.e. number of schemes wherein return is less than zero, between 0- 5%, 5-10%, etc.) C. Risk Management Measures (including concentration of investments; Non-Performing Assets (NPAs); instances of diversion of funds; quantum of unclaimed redemption amounts and unclaimed dividends, etc.) 5.2 Alternative Investment Funds (AIFs) A. Policy Developments B. Market Activity and Trends Observed (including categorized list of AIFs; funds raised and invested; AUM; fund inflow / outflow; instrument / sector-wise deployment, etc.) C. Risk Management Measures (including cat .....

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Securities and Exchange Board of India (Annual Report) Rules, 2021 - G.S.R. 176 (E) - SEBI

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..... f fresh ratings and ratings reviewed by CRAs; details of the enforcement of the CRA Regulations) C. Risk Management Measures (instances of rating downgrades, etc.) 8. Protection of Investor Interests 8.1 Investor Education A. Investor-awareness programmes; seminars and workshops including media campaigns (State-wise details) conducted through MIIs as well as by SEBI B. Dedicated Investor website C. Visits to SEBI D. Impact assessment of the awareness programmes E. New initiatives for investor education during the year F. Financial education activities and workshops conducted by SEBI-trained resource person G. Joint programmes with exchanges, depositories, etc. 8.2 Investor Centric Policy Measures A. Primary Market B. Secondary Market (equit .....

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Securities and Exchange Board of India (Annual Report) Rules, 2021 - G.S.R. 176 (E) - SEBI

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..... der trading, etc.) B. Inspection (details of the inspections carried out during the year) C. Investigation (details of the investigations carried out during the year category-wise) D. Enforcement Activities (details of enforcement activities; age-wise analysis of the various proceedings; category-wise violations (e.g. insider trading; illegal trading; misappropriation; disclosure violations, etc.) E. Fraudulent and Unfair Trade Practices (including details such as type, number of cases reported to SEBI and steps taken to prevent such practices) 10.2 Regulatory Actions A. Orders 1) Statutory warning/Enquiry (under Intermediaries Regulations) 2) Debarment/Disgorgement (under section 11B of the Act) 3) Number of interim and final orders passed .....

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Securities and Exchange Board of India (Annual Report) Rules, 2021 - G.S.R. 176 (E) - SEBI

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