SECURITIES AND EXCHANGE BOARD OF INDIA
(DISCLOSURE AND INVESTOR PROTECTION)
GUIDELINES FOR CAPITAL ISSUES 2000

 

CHAPTER I PRELIMINARY, DEFINITIONS, ETC.
CHAPTER II ELIGIBILITY NORMS FOR COMPANIES ISSUING SECURITIES
CHAPTER III PRICING BY COMPANIES ISSUING SECURITIES
CHAPTER IV PROMOTERS' CONTRIBUTION AND LOCK-IN REQUIREMENTS
CHAPTER V  PRE-ISSUE OBLIGATIONS
CHAPTER VI CONTENTS OF OFFER DOCUMENT
CHAPTER VII POST-ISSUE OBLIGATIONS
CHAPTER VIII OTHER ISSUE REQUIREMENTS
CHAPTER IX GUIDELINES ON ADVERTISEMENT
CHAPTER X GUIDELINES FOR ISSUE OF DEBT INSTRUMENTS
CHAPTER XI GUIDELINES FOR BOOK-BUILDING
CHAPTER XII GUIDELINES FOR ISSUE OF CAPITAL BY DESIGNATED FINANCIAL INSTITUTIONS
CHAPTER XIII GUIDELINES FOR PREFERENTIAL ISSUES
CHAPTER XIV GUIDELINES FOR OTCEI ISSUES
CHAPTER XV GUIDELINES FOR BONUS ISSUES
CHAPTER XVI OPERATIONAL GUIDELINES
CHAPTER XVII MISCELLANEOUS

SCHEDULES
 

SCHEDULE I MEMORANDUM OF UNDERSTANDING BETWEEN THE LEAD MERCHANT BANKERS TO THE ISSUE AND THE ISSUER COMPANY
SCHEDULE II INTERSE ALLOCATION OF RESPONSIBILITIES
SCHEDULE III FORMAT OF DUE DILIGENCE CERTIFICATE TO BE GIVEN BY LEAD MERCHANT BANKER(S) ALONG WITH DRAFT OFFER DOCUMENT
SCHEDULE IV FORMAT FOR DUE DILIGENCECERTIFICATE AT THE TIME OF FILING THE OFFER DOCUMENT WITH ROC
SCHEDULE V FORMAT FOR DUE DILIGENCE CERTIFICATE AT THE TIME OF OPENING OF THE ISSUE
SCHEDULE VI FORMAT FOR DUE DILIGENCE CERTIFICATE AFTER THE ISSUE HAS OPENED BUT BEFORE IT CLOSES FOR SUBSCRIPTION
SCHEDULE VII MANDATORY COLLECTION CENTRES
SCHEDULE VIII PROMOTERS' CONTRIBUTION AND LOCK-IN
SCHEDULE IX PROMOTERS' CONTRIBUTION AND LOCK-IN IN RESPECT OF PROMOTERS WHOSE NAME FIGURE IN THE PROSPECTUS AS PROMOTERS IN THE PARAGRAPH ON 'PROMOTERS AND THEIR BACKGROUND'
SCHEDULE X STATEMENTOF PROFITS AND LOSSES
SCHEDULE XI STATEMENT OF ASSETS AND LIABILITIES
SCHEDULE XII TAX SHELTER STATEMENT
SCHEDULE XIII CAPITALISATION STATEMENT
SCHEDULE XIV FORM OF AUDITOR'S CERTIFICATE REGARDING PROFIT FORECAST
SCHEDULE XV BASIS FOR ISSUE PRICE
SCHEDULE XVI POST-ISSUE MONITORING REPORTS
SCHEDULE XVII UNDERWRITING DEVOLVEMENT STATEMENT
SCHEDULE XVIII BASIS OF ALLOTMENT PROCEDURE
SCHEDULE XIX FORMAT OF THE REPORT TO BE SUBMITTED BY THE MONITORINGAGENCY
SCHEDULE XX CLARIFICATORY EXAMPLES
SCHEDULE XXI BOOK BUILDING – MODEL TIME FRAME
SCHEDULE XXII JURISDICTION OF REGIONAL OFFICES/HEAD OFFICE OF THE BOARD
SCHEDULE XXIII FORMAT FOR SUBMITTING DRAFT OFFER DOCUMENT ON A COMPUTER FLOPPY
SCHEDULE XXIV APPLICATION FORM FOR ISSUE OF NO OBJECTION CERTIFICATE FOR RELEASE OF 1% DEPOSIT PLACED WITH THE REGIONAL STOCK EXCHANGE
SCHEDULE XXV PROFORMA FOR SENDING RESPONSES TO SEBI
SCHEDULE XXVI ADDITIONAL INFORMATION FOR RENEWAL OF REGISTRATION AS MERCHANT BANKER
SCHEDULE XXVII FORMAT FOR HALF YEARLY REPORTS TO BE SUBMITTED BY MERCHANT BANKERS

[AS ON 16/02/2000]