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TMI BlogSecurities and Exchange Board of India (Annual Report) Rules, 2021X X X X Extracts X X X X X X X X Extracts X X X X ..... s 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 year. ANNEXURE [Form of Annual Report] (See rule 3) 1. Introduction 1.1 Year in review 1.2 Performance Highlights 1.3 Looking Forward 2. Review of Financial Market (Including an analysis of economic and investment environment in India along with comparison with developed and peer countries and potential risk factors; stress factors indicated through market signals, etc.) 3. Primary Markets 3.1 Equity Markets A. Policy Developments B. Market Activity and Trends Observed (including details of applications for public issuance received and approved during the financial year, fund-raising under different categories, median time taken for regulatory approval on aggregate basis) 3.2 Debt Markets and H ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... 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; warehouse 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 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ised and invested; AUM; fund inflow / outflow; instrument / sector-wise deployment, etc.) C. Risk Management Measures (including categorized sources of funds, concentration of investments, NPAs, instances of diversion of funds, quantum of unclaimed redemption amounts, etc.) 5.3 Portfolio Managers A. Policy Developments B. Market Activity and Trends Observed (including categorized list of Portfolio Management Service; AUM; fund inflow / outflow, etc.) C. Risk Management Measures (including categorized list of investors; concentration of investments; NPAs; instances of diversion of funds; quantum of unclaimed units, etc.) 5.4 Collective Investment Schemes (CIS) A. Policy Developments B. Market Activity and Trends Observed (including details of interim and final orders passed by SEBI on the deemed CIS/CIS; the details of restitution of money to the investors through SEBI in case 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 (NP ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... y 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 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 in cases of deemed public issuances, etc. B. Adjud ..... X X X X Extracts X X X X X X X X Extracts X X X X
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