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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

Extract

..... ub-regulation (1), (a) in clause (r), i. the words and symbol “or the offer document:” shall be substituted with the words and symbols “the offer document, or the letter of offer:”. ii. in the proviso, the words and symbol “or the offer document;” shall be substituted with the words and symbols “the offer document, or the letter of offer;”. (b) in clause (mm), the words and symbols “regulation 2(1)(q) of” shall be omitted. (c) in clause (lll), the words “wilful defaulter” wherever it appears, shall be substituted with the words “wilful defaulter or a fraudulent borrower” and the words “wilful defaulters” shall be substituted with the words “wilful defaulters or fraudulent borrowers”. II. In regulation 5, in sub-regulation (1), in clause (c), the words and symbol “wilful defaulter.” shall be substituted with the words and symbol “wilful defaulter or a fraudulent borrower.”. III. In regulation 7, after sub-regulation (2), (a) in the explanation, the words “For the purposes of this regulation” shall be substituted with the words and numbers &l .....

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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

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..... under regulation 17 of these regulations shall be applicable, and relaxation from lock-in as provided under clause (c) of regulation 17 of these regulations shall not be applicable.” VI. In regulation 15, (a) in sub-regulation (1), in clause (b), in point (i) of the proviso, the words “if the promoters and alternative investment funds”, shall be substituted with the words “if the promoters and alternative investment funds or foreign venture capital investors or scheduled commercial banks or public financial institutions or insurance companies registered with Insurance Regulatory and Development Authority of India”. (b) in sub-regulation (1), in clause (b), in point (ii) of the proviso, the words, numbers and symbol “sections 391 to 394 of the Companies Act, 1956 or” shall be omitted. (c) in sub-regulation (1), in clause (c), the words “the promoters and alternative investment funds”, shall be substituted with the words “the promoters and alternative investment funds or foreign venture capital investors or scheduled commercial banks or public financial institutions or insurance companies registered with Insurance Regulatory .....

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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

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..... t the unsubscribed portion in either of the sub-categories specified in clauses (a) or (b), may be allocated to applicants in the other sub-category of non-institutional investors.” (b) in sub-regulation (4), in clause (ii), the sub-clause (i) and (ii) shall be re-numbered as sub-clause (a) and (b). XI. In regulation 40, in sub-regulation (1), the words, numbers and symbols “it shall appoint underwriters in accordance with the Securities and Exchange Board of India (Underwriters) Regulations, 1993” shall be substituted with the words and symbols “it shall appoint merchant bankers or stock brokers, registered with the Board, to act as underwriters.”. XII. In regulation 41, (a) in sub-regulation (1), the words and symbol “public financial institution or by a scheduled commercial bank named in the offer document as bankers of the issuer:” shall be substituted with the words and symbol “credit rating agency registered with the Board:”. (b) in sub-regulation (2), the words “at least ninety five per cent” shall be substituted with the words “hundred per cent”, and the words and symbols “, excluding the pr .....

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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

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..... offer document and the offer document at the time of filing of offer documents.” (b) in sub-regulation (3), the words “wilful defaulter” shall be substituted with the words “wilful defaulter or a fraudulent borrower”. XVIII. In regulation 69, sub-regulation (5), in the proviso, the words, numbers and symbols “or the Companies Act, 1956 (to the extent applicable)” shall be omitted. XIX. In regulation 70, in sub-regulation (6), the words “wilful defaulter” shall be substituted with the words “wilful defaulter or a fraudulent borrower”. XX. In regulation 74, in sub-regulation (2), the words “or warrants” shall be omitted. XXI. In regulation 81, in sub-regulation (1), the words, numbers and symbols “it shall appoint underwriters in accordance with the Securities and Exchange Board of India (Underwriters) Regulations, 1993.” shall be substituted with the words and symbols “it shall appoint merchant bankers or stock brokers, registered with the Board, to act as underwriters:”. XXII. In regulation 82, (a) in sub-regulation (1), the words and symbol “public financial institution or b .....

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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

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..... er”. XXIX. In regulation 103, sub-regulations (1) and (2), shall be substituted with the following, namely,- “(1) An issuer shall be eligible to make a further public offer, if it has not changed its name in the last one year period immediately preceding the date of filing the relevant offer document: Provided that if an issuer has changed its name in the last one year period immediately preceding the date of filing the relevant offer document, such an issuer shall make further public offer if at least fifty per cent. of the revenue for the preceding one full year has been earned by it from the activity indicated by its new name. (2) An issuer not satisfying the condition stipulated in the proviso to sub-regulation (1), shall make a further public offer only if the issue is made through the book building process and the issuer undertakes to allot at least seventy five per cent. of the net offer, to qualified institutional buyers and to refund full subscription money if it fails to make the said minimum allotment to qualified institutional buyers.”. XXX. In regulation 104, (a) in sub-regulation (1), after clause (d), the following explanation shall be inserted, nam .....

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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

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..... s and up to ten lakh rupees; (b) two third of the portion available to non-institutional investors shall be reserved for applicants with application size of more than ten lakh rupees: Provided that the unsubscribed portion in either of the sub-categories specified in clauses (a) or (b) may be allocated to applicants in the other sub-category of non-institutional investors.” XXXV. In regulation 136, in sub-regulation (1), the words, numbers and symbols “it shall appoint underwriters in accordance with the Securities and Exchange Board of India (Underwriters) Regulations, 1993” shall be substituted with the words and symbols “it shall appoint merchant bankers or stock brokers, registered with the Board, to act as underwriters”. XXXVI. In regulation 137, (a) in sub-regulation (1), the words and symbol “public financial institution or by a scheduled commercial bank named in the offer document as the bankers of the issuer:” shall be substituted with the words and symbol “credit rating agency registered with the Board:”. (b) in sub-regulation (2), the words “at least ninety five per cent” shall be substituted with the word .....

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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

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..... rse impact on the issuer shall be made in the offer document;” (d) clause (i) shall be substituted with the following, namely, - “(i) if the issuer or the promoter or the promoter group or the director of the issuer has settled any alleged violations of securities laws through the settlement mechanism of the Board in the past three years immediately preceding the reference date, then the disclosure of such compliance of the settlement order, shall be made in the offer document;” (e) clause (l) shall be substituted with the following, namely, - “(l) for audit qualifications, if any, in respect of any of the financial years for which accounts are disclosed in the offer document, the issuer shall provide the restated financial statements adjusting for the impact of the audit qualifications. Further, for the qualifications wherein impact on the financials cannot be ascertained, the same shall be disclosed appropriately in the offer document.” XLI. In regulation 158, (a) In sub-regulation (1), in clause (a), the words, symbols and numbers “(3) and (4) of sections 81 of the Companies Act, 1956 or sub-section” appearing after the word “sub-s .....

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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

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..... ation 162, (a) the existing text of the regulation shall be numbered as sub-regulation (1); (b) after sub-regulation (1), the following sub-regulation (2) shall be inserted namely,- “(2) Upon exercise of the option by the allottee to convert the convertible securities within the tenure specified in sub-regulation (1), the issuer shall ensure that the allotment of equity shares pursuant to exercise of the convertible securities is completed within 15 days from the date of such exercise by the allottee.” XLV. In regulation 163, (a) in sub-regulation (1), (i) in clause (f), the following words and symbols appearing after the words “proposed allottees” shall be omitted: “, the percentage of post preferential issue capital that may be held by them and change in control, if any, in the issuer consequent to the preferential issue”; (ii) after clause (f), the following clause (fa) shall be inserted namely,- “ (fa) the percentage of post preferential issue capital that may be held by the allottee(s) and change in control, if any, in the issuer consequent to the preferential issue”; (iii) in clause (i), the words “wilful defaulter” .....

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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

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..... shall be substituted by the number, words and symbol “10 trading days’”; b) the words “during the two weeks” appearing after the word “exchange” and before the word “preceding”, shall be omitted; (iv) after clause b, the following proviso shall be inserted to sub-regulation (1) namely,- “Provided that if the Articles of Association of the issuer provide for a method of determination which results in a floor price higher than that determined under these regulations, then the same shall be considered as the floor price for equity shares to be allotted pursuant to the preferential issue.”; (b) in sub-regulation (2), (i) the words “twenty six weeks” appearing after the words “less than” and before the words “as on”, shall be substituted by the number and words “90 trading days”; (ii) in clause a, the words “sections 391 to 394 of the Companies Act, 1956 or” shall be omitted; (iii) in clause b, the words “weekly high and low of the” appearing after the words “average of the” and before the words “volume weighted”, shall be omi .....

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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

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..... ed namely,- “Provided that if the Articles of Association of the issuer provide for a method of determination which results in a floor price higher than that determined under these regulations, then the same shall be considered as the floor price for equity shares to be allotted pursuant to the preferential issue:” ; (iii) after clause (a), the following clause (b) shall be inserted namely,- “(b) no allotment shall be made, either directly or indirectly, to any qualified institutional buyer who is a promoter or any person related to the promoters of the issuer: Provided that a qualified institutional buyer who does not hold any shares in the issuer and who has acquired rights in the capacity of a lender shall not be deemed to be a person related to the promoters. Explanation. - For the purpose of this clause, a qualified institutional buyer who has any of the following rights shall be deemed to be a person related to the promoters of the issuer:- (a) rights under a shareholders‘ agreement or voting agreement entered into with promoters or promoter group; (b) veto rights; or (c) right to appoint any nominee director on the board of the issuer.”; (e) in .....

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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

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..... e is likely to result in a change in control of the issuer, the valuation report from the registered valuer shall also cover guidance on control premium, which shall be computed over and above the price determined in terms of the first proviso: Provided further that the valuation report from the registered valuer shall be published on the website of the issuer and a reference of the same shall be made in the notice calling the general meeting of shareholders. (2) Any preferential issue, which may result in a change in control of the issuer, shall only be made pursuant to a reasoned recommendation from a committee of independent directors of the issuer after considering all the aspects relating to the preferential issue including pricing, and the voting pattern of the said committee’s meeting shall be disclosed in the notice calling the general meeting of shareholders. Explanation.-The meeting of the independent directors referred in sub-regulation (2) shall be attended by all the independent directors on the board of the issuer.”; LI. In regulation 167, (d) in sub-regulation (1), (i) the words “three years” appearing after the words “period of” a .....

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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

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..... securities shall continue pursuant to the invocation of the pledge and the entity invoking the pledge shall not be eligible to transfer the specified securities till the lock-in period stipulated in these regulations has expired.” LIII. In regulation 171, the clause beginning with “relevant date” shall be re-numbered as clause “(b)”. LIV. In regulation 172, in sub-regulation (1), (a) in clause (a), the words and symbols “sub-clause (ii) of” shall be omitted. (b) in clause (b), in the proviso, the words, numbers and symbol “under sections 391-394 of the Companies Act, 1956” shall be omitted. (c) in clause (b), in the second proviso, the words, numbers and symbols, “Securities Contracts (Regulation) 1957” shall be substituted with the words, numbers and symbols, “Securities Contracts (Regulations) Rules, 1957”. LV. In regulation 175, (d) in sub-regulation (2), after the words “on the basis of a”, the words “preliminary placement document and” shall be inserted. (e) in sub-regulation (2), the words “wilful defaulter” shall be substituted with the words “wilful defau .....

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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

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..... he issuer: Provided further that such limits shall not apply if the proposed acquisition or strategic investment object has been identified and suitable specific disclosures about such acquisitions or investments are made in the draft offer document and the offer document at the time of filing of offer documents.” LXII. In regulation 237, in sub-regulation (1), in clause (b), (k) in proviso (i), the words “if the promoters and alternative investment funds”, shall be substituted with the words and symbol “if the promoters and alternative investment funds or foreign venture capital investors or scheduled commercial banks or public financial institutions or insurance companies registered with Insurance Regulatory and Development Authority of India,”. (l) in proviso (ii), the numbers, words and symbol “391 to 394 of the Companies Act, 1956 or” shall be omitted. LXIII. In regulation 244, in sub-regulation (5), in the proviso, the words, number and symbol “or the Companies Act, 1956 (to the extent applicable)” shall be omitted. LXIV. In regulation 246, in sub-regulation (5), the words “draft offer document and the” shall b .....

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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

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..... tails, and other details as may be specified by the Board from time to time.” (c) in Item (1) titled “Cover Pages”, in point (2) word “outside” shall be substituted with word “inside”. (d) in Item (4) titled “Offer Document Summary”, after para (Q), the following new para shall be inserted, namely, - “(R) Exemption from complying with any provisions of securities laws, if any, granted by SEBI shall be disclosed.” (e) in Item (5), titled “Risk factor:”, in para (G), after clause 31, following clause 32 shall be inserted, namely, - “32. In case the proforma financial statements / restated consolidated financial statements has been provided by a peer reviewed Chartered Accountants who is not statutory auditor of the Company, the Issuer Company shall put this as a Top 10 Risk Factor in its offer document (DRHP/RHP/Prospectus).” (f) in Item (8), titled “Capital Structure:”, in para (B), in clause (f), the word and number “regulation 33” shall be substituted with the word and number “regulation 31”. (g) in Item (9), titled “Particulars of the Issue:”, .....

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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

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..... a valid certificate issued by the Peer Review Board of the Institute of Chartered Accountants of India (ICAI) appointed by the issuer company.”. v. in point (II), in para (A), in clause (i), the word “statutory auditor(s)” shall be substituted with the words “statutory auditor(s) or Chartered Accountants”. vi. in point (II), in para (A), in clause (i), in sub-clause (d), the word “auditor” shall be substituted with the words “auditor or Chartered Accountants”. vii. in point (II), in para (B), in clause (iii), the word “statutory auditor” appearing after the words “as certified by the” shall be substituted with the words “statutory auditor or chartered accountants, who hold a valid certificate issued by the Peer Review Board of the Institute of Chartered Accountants of India (ICAI),”. viii. in point (II), in para (B), in clause (iii), the words “statutory auditor of the issuer company” shall be substituted with the words “statutory auditor of the issuer company or chartered accountants, who hold a valid certificate issued by the Peer Review Board of the Institute of Chartered .....

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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

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..... Board of the Institute of Chartered Accountants of India (ICAI)”. ii. in clause (B), the words “statutory auditor of the issuer company” shall be substituted with the words “statutory auditor of the issuer company or chartered accountants, who hold a valid certificate issued by the Peer Review Board of the Institute of Chartered Accountants of India (ICAI).”. LXXV. In Schedule VI, in Part B-1, in Item (14), in Para (B) titled “Other Financial Information”, iii. in clause (iii) titled “Proforma financial statements”, the word “statutory auditor” appearing after the words “as certified by the” shall be substituted with the words “statutory auditor or chartered accountants, who hold a valid certificate issued by the Peer Review Board of the Institute of Chartered Accountants of India (ICAI)”. iv. in clause (iii), the words “statutory auditor of the issuer company” shall be substituted with the words “statutory auditor of the issuer company or chartered accountants, who hold a valid certificate issued by the Peer Review Board of the Institute of Chartered Accountants of India (IC .....

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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

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..... d after the column “Item Head” and before the column “Amount as proposed in the Offer Document”. (e) after point No. 4, a new point No. 5 with the heading “Details of utilization of proceeds stated as General Corporate Purpose (GCP) amount in the offer document”, shall be inserted. LXXXI. In Schedule XIII, (a) in Part A, (ii) in clause (7), in sub-clause (b), after point (i), the following proviso shall be inserted namely, - “Provided that the cap of the price band shall be at least one hundred and five per cent of the floor price.” (iii) in clause (10), sub-clause (j) shall be substituted with the following, namely, - “j) There shall be a lock-in of 90 days on fifty per cent of the shares allotted to the anchor investors from the date of allotment, and a lock-in of 30 days on the remaining fifty per cent of the shares allotted to the anchor investors from the date of allotment.” (iv) in clause (15), in sub-clause (b) , a) the words and symbol “and non-institutional investors”, appearing after the words “institutional buyers” and before the symbol and words “, other than”, shall be omitt .....

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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

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..... fied securities. (9) As the allotment to a non-institutional investor cannot be less than the minimum application size, subject to availability of shares, the remaining available shares, if any, shall be allotted on a proportionate basis. The actual entitlement shall be as follows: Sr. No. Name of Investor Total Number of specified securities applied for Total number of specified securities eligible to be allotted 1 A 340 340 specified securities (i.e. the minimum applications size) 2 B 500 340 specified securities (i.e. the minimum applications size) + 29 specified securities [{5,00,000 - (500 * 340)} / {20,00,000 - (500 * 340)}] * 160 (i.e. 500-340) 3 C 1,000 340 specified securities (i.e. the minimum lot of ₹ 2 Lakhs) + 119 specified securities [{5,00,000 - (500 * 340)} / {20,00,000 - (500* 340)}] * 660 (i.e. 1,000- 340) 4 D 1,400 340 specified securities (i.e. the minimum lot of ₹ 2 Lakhs) + 191 specified securities [{5,00,000 - (500 * 340)} / {20,00,000 - (500 * 340)}] * 1,060 (i.e. 1,400- 340) 5 E 1,660 340 specified securities (i.e. the minimum lot of ₹ 2 Lakhs) + 238 specified securities[{5,00,000 - (500 * 340)} / {20,00,000 - (500 * 340)}] * 1,320 (i.e. 1 .....

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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

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..... ed by a lottery) A B C D= (B*C) E 17 340 2,500 8,50,000 74= (1,471/50,000) *2,500 18 360 1,000 3,60,000 29 19 380 1,000 3,80,000 29 20 400 1,000 4,00,000 29 21 420 1,000 4,20,000 29 22 440 1,000 4,40,000 29 23 460 1,000 4,60,000 29 24 480 500 2,40,000 15 25 500 500 2,50,000 15 26 520 500 2,60,000 15 27 540 500 2,70,000 15 28 560 1,000 5,60,000 29 29 580 1,000 5,80,000 29 30 600 500 3,00,000 15 31 620 1,000 6,20,000 29 32 640 1,000 6,40,000 29 33 660 1,000 6,60,000 29 34 680 1,000 6,80,000 29 35 700 1,000 7,00,000 29 36 720 500 3,60,000 15 37 740 1,000 7,40,000 29 38 760 1,000 7,60,000 29 39 780 1,000 7,80,000 29 40 800 1,000 8,00,000 29 41 820 1,000 8,20,000 29 42 840 1,000 8,40,000 29 43 860 500 4,30,000 15 44 880 1,000 8,80,000 29 45 900 1,000 9,00,000 29 46 920 1,000 9,20,000 29 47 940 1,000 9,40,000 29 48 960 1,000 9,60,000 29 49 980 1,000 9,80,000 29 50 1000 1,000 10,00,000 29 51 1020 1,000 10,20,000 29 52 1040 1,000 10,40,000 29 53 1060 1,000 10,60,000 29 54 1080 500 5,40,000 15 55 1100 500 5,50,000 15 56 1120 500 5,60,000 15 57 1140 500 5,70,000 15 58 1160 500 5,80,000 15 59 1180 500 5,90,000 15 60 1200 500 6,00,000 15 61 1220 500 6,10,000 15 62 1240 500 6,20,000 15 63 1260 .....

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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

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..... ard of India (Issue of Capital and Disclosure Requirements) (Fifth Amendment) Regulations, 2019, vide notification No. SEBI/LAD-NRO/GN/2019/42. (g) December 26, 2019 by the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Sixth Amendment) Regulations, 2019, vide notification No. SEBI/LAD-NRO/GN/2019/47. (h) January 1, 2020 by the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Seventh Amendment) Regulations, 2019, vide notification No. SEBI/LAD-NRO/GN/2020/01. (i) April 17, 2020 by the Securities and Exchange Board of India (Regulatory Sandbox) (Amendment) Regulations, 2020 vide notification No. SEBI/LAD-NRO/GN/2020/10. (j) May 8, 2020 by the Securities and Exchange Board of India (Payment of Fees) (Amendment) Regulations, 2020, vide notification No. SEBI/LAD-NRO/GN/2020/11. (k) June 16, 2020 by the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2020, vide notification No. SEBI/LAD-NRO/GN/2020/17. (l) June 22, 2020 by the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Second Amendment) Regulations, 2020, .....

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Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) (Amendment) Regulations, 2022 - No. SEBI/LAD-NRO/GN/ 2022/63 - SEBI

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  1. Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  2. Securities and Exchange Board of India Act, 1992
  3. Section 30 - Power to make regulations - Securities and Exchange Board of India Act, 1992
  4. SCHEDULE - 16 - NATURE OF CHANGES IN THE OFFER DOCUMENT REQUIRING FILING OF UPDATED OFFER DOCUMENT [See regulation 25(6), 71(6), 123(6) and 186(5)] - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  5. SCHEDULE - 14 - ILLUSTRATION EXPLAINING THE PROCEDURE OF ALLOTMENT for retail individual investors [See regulation 47(3), 49(5), 145(5), 192(1)(a), 204(4), 267(3), 143(3) and 268(5)] - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  6. SCHEDULE - 13 - BOOK BUILDING PROCESS [See regulation 28(2), 30(1)(c), 32(2), 126(2), 128(1)(d), 129(3), 188(2), 190(1)(b), 250(2), 252(1)(c) and 291(4)] - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  7. SCHEDULE - 11 - FORMAT OF REPORT TO BE SUBMITTED BY THE MONITORING AGENCY [See regulation 82(2) and 82(3)] - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  8. SCHEDULE - 09 - PUBLIC COMMUNICATIONS AND PUBLICITY MATERIALS [See regulation 42, 83, 138, 199 and 264] - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  9. SCHEDULE - 07 - DISCLOSURES IN A PLACEMENT DOCUMENT [See regulations175(2)] - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  10. SCHEDULE - 06 - DISCLOSURES IN THE OFFER DOCUMENT, ABRIDGED PROSPECTUS AND ABRIDGED LETTER OF OFFER [See regulations 17, 24(2)(b), 34(1), 57(1)(f), 70(2), 71(2)(d), 75, 122(2)(ii), 123(2)(d), 131(1), 153(1)(f), 186(3)(d), 218(2), 220(1)],... - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  11. SCHEDULE - 02 - CONTENTS OF AGREEMENT BETWEEN LEAD MANAGER(S) AND ISSUER [See regulations 23(5), 69(5), 71(2), 121(5), 184 (1) and 245(5)] - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  12. Regulation 99 - Eligibility conditions - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  13. Regulation 94 - Release of subscription money - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  14. Regulation 93 - Post-issue responsibilities of the lead manager(s) - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  15. Regulation 87 - Period of subscription - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  16. Regulation 86 - Minimum subscription - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  17. Regulation 82 - Monitoring agency - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  18. Regulation 81 - Underwriting - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  19. Regulation 8 - Additional conditions for an offer for sale - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  20. Regulation 74 - Reservations - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  21. Regulation 70 - Disclosures in the draft letter of offer and letter of offer - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  22. Regulation 7 - General conditions - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  23. Regulation 69 - Appointment of Lead Managers - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  24. Regulation 62 - General conditions - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  25. Regulation 57 - Price stabilisation through green shoe option - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  26. Regulation 53 - Release of subscription money - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  27. Regulation 5 - Entities not eligible to make an initial public offer - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  28. Regulation 49 - Allotment procedure and basis of allotment - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  29. Regulation 45 - Minimum subscription - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  30. Regulation 41 - Monitoring agency - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  31. Regulation 40 - Underwriting - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  32. Regulation 32 - Allocation in the net offer - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  33. Regulation 292 - Granting companies listed on the Innovators Growth Platform pursuant to an initial public offer, an option to trade under the regular category of the main board of the stock exchange - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  34. Regulation 290A - Omitted - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  35. Regulation 29 - Price and price band - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  36. Regulation 272 - Release of subscription money - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  37. Regulation 262 - Monitoring agency - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  38. Regulation 260 - Underwriting - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  39. Regulation 255 - Abridged prospectus - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  40. Regulation 246 - Filing of the offer document - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  41. Regulation 244 - Appointment of merchant bankers - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  42. Regulation 237 - Securities ineligible for minimum promoters’ contribution - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  43. Regulation 230 - General conditions - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  44. Regulation 23 - Appointment of Officer - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  45. Regulation 228 - Entities not eligible to make an initial public offer - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  46. Regulation 208 - Release of subscription money - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  47. Regulation 202 - Minimum subscription - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  48. Regulation 201 - Opening of the issue - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  49. Regulation 2 - Definitions - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  50. Regulation 198 - Underwriting - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  51. Regulation 175 - Placement document - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  52. Regulation 172 - Eligibility conditions - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  53. Regulation 171 - Definitions - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  54. Regulation 17 - Lock-in of specified securities held by persons other than the promoters - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  55. Regulation 167 - Lock-in - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  56. Regulation 166 - Adjustments in pricing - Frequently and Infrequently traded shares - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  57. Regulation 165 - Pricing of infrequently traded shares - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  58. Regulation 164A - Pricing in preferential issue of shares of companies having stressed assets - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  59. Regulation 164 - Pricing of frequently traded shares - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  60. Regulation 163 - General Meeting proposed for passing the special resolution: - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  61. Regulation 162 - Tenure of convertible securities - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  62. Regulation 160 - Conditions for preferential issue - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  63. Regulation 159 - Convertible debt instruments - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  64. Regulation 158 - Provisions of this chapter not to apply in certain cases - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  65. Regulation 155 - Eligibility conditions - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  66. Regulation 15 - Securities ineligible for minimum promoters’ contribution - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  67. Regulation 149 - Release of subscription money - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  68. Regulation 145 - Allotment procedure and basis of allotment - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  69. Regulation 141 - Minimum subscription - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  70. Regulation 137 - Monitoring agency - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  71. Regulation 136 - Underwriting - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  72. Regulation 129 - Allocation in the net offer - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  73. Regulation 127 - Price and price band - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  74. Regulation 114 - Securities ineligible for minimum promoters’ contribution - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  75. Regulation 105 - Additional conditions for an offer for sale - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  76. Regulation 104 - General conditions - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  77. Regulation 103 - Eligibility requirements for further public offer - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018
  78. Regulation 102 - Entities not eligible to make a further public offer - Securities and Exchange Board of India (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018

 

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