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Date
Type
Title
May 02, 2024
Circulars
Portfolio Managers - Facilitating ease in digital on-boarding process for clients and enhancing transparency through disclosures
May 02, 2024
Circulars
Facilitating collective oversight of distributors for Portfolio Management Services (PMS) through APMI
Apr 30, 2024
Orders
In respect of unregistered portfolio management services by Allied Financial Services Pvt. Ltd.
Apr 24, 2024
Recovery Proceedings
SEBI Order for Compliance – Notice of Demand for Recovery Certificate No. RC 7769 of 2024 against Premium Research Financial Services and Premium Capital Services Proprietor- Jeevan Lal Mar in the matter of unregistered investment advisory, research analyst and portfolio management activities of Premium Research Financial Services and Premium Capital Services.
Apr 24, 2024
Recovery Proceedings
SEBI Order for Compliance – Notice of Demand for Recovery Certificate No. RC 7768 of 2024 against Premium Research Financial Services and Premium Capital Services Proprietor- Jeevan Lal Maru in the matter of unregistered investment advisory, research analyst and portfolio management activities of Premium Research Financial Services and Premium Capital Services.
Mar 27, 2024
Orders
Order in the matter of Unregistered Investment Advisory Services and Portfolio Manager Services by Maxx Innovation Growth and Maxx Innovation
Feb 15, 2024
Reports
Consultation Paper on Ease of Doing Business Initiatives for Portfolio Managers
Click here to provide your comments
Feb 08, 2024
Unserved Summons / Notices
Hearing Notice in respect of Shri Awanish Kumar Mishra, Money Mishra Financial Services, Money Mishra Securities Pvt. Ltd and Shri Jitender kumar Tiwari in the matter of Unregistered Portfolio Management activities by Allied Group entities
Feb 07, 2024
Reports
Consultation Paper on Relaxation in Timelines for Disclosure of Material Changes by Foreign Portfolio Investors
Click here to provide your comments
Feb 02, 2024
Recovery Proceedings
Notice of Demand under Recovery Certificate number 7571 of 2024 dated February 02, 2024 issued to Vikash Gupta [Defaulter] PAN: CUCPG7495R in the matter of Ms. Pooja Patidar, of employee of Investment Research Advisor (IRA) and Mr. Vikash Gupta, Portfolio Manager of M/s. Algo System: under Recovery Certificate No. 7571 of 2024.
Jan 05, 2024
Unserved Summons / Notices
Hearing Notice in respect of Shri Jitender Kumar Tiwari in the matter of Unregistered Portfolio Management activities by Allied Group entities
Jan 05, 2024
Unserved Summons / Notices
Hearing Notice in respect of Money Mishra Securities Pvt. Ltd in the matter of Unregistered Portfolio Management activities by Allied Group entities
Jan 05, 2024
Unserved Summons / Notices
Hearing Notice in respect of Money Mishra Financial Services in the matter of Unregistered Portfolio Management activities by Allied Group entities
Jan 05, 2024
Unserved Summons / Notices
Hearing Notice in respect of Shri Awanish Kumar Mishra in the matter of Unregistered Portfolio Management activities by Allied Group entities
Oct 20, 2023
Orders
Order in respect of Indian Portfolio Ltd. in the matter of National Spot Exchange Limited
Sep 20, 2023
Recovery Proceedings
SEBI Order for Compliance – Notice of Demand for Recovery Certificate No.7174 of 2023 against Global Portfolio Management (Proprietor Imran Khan) in the matter of Global Portfolio Management (Proprietor Imran Khan)
Sep 18, 2023
Orders
Final order in the matter of unregistered portfolio management services activity by Ameet Savant Proprietor of Ventura and unregistered investment advisory activity by Crefin India Management Pvt. Ltd. and its directors
Sep 13, 2023
Informal Guidance
Informal Guidance Sought by Guardian Asset Management Private Limited regarding SEBI (Portfolio Managers) Regulations, 2020
Aug 25, 2023
Reports
Consultation Paper on permitting increased participation of Non – Resident Indians (NRIs) and Overseas Citizens of India (OCIs) into SEBI registered Foreign Portfolio Investors (FPIs) based out of International Financial Services Centres (IFSCs) in India and regulated by the International Financial Services Centres Authority (IFSCA)
Aug 24, 2023
Circulars
Mandating additional disclosures by Foreign Portfolio Investors (FPIs) that fulfil certain objective criteria
Aug 18, 2023
Regulations
Securities and Exchange Board of India (Portfolio Managers) Regulations, 2020 [Last amended on August 18, 2023]
Aug 10, 2023
Regulations
Securities and Exchange Board of India (Foreign Portfolio Investors) Regulations, 2019 [Last amended on August 10, 2023]
Aug 10, 2023
Regulations
Securities and Exchange Board of India (Foreign Portfolio Investors) (Second Amendment) Regulations, 2023
Aug 02, 2023
Circulars
Audit of firm-level performance data of Portfolio Managers
Jul 27, 2023
Circulars
Mandating Legal Entity Identifier (LEI) for all non – individual Foreign Portfolio Investors (FPIs)
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