March 2014

Public Sector Banks as ‘public shareholders’ in stock exchanges

SEBI has suggested that public sector banks and financial institutions be considered as ‘public shareholders’ in stock exchanges. SEBI opined that imposing limitations on shareholding of banks and financial institutions by allowing them to hold shares in stock exchanges only as ‘public shareholders’ would adversely affect their levels of market participation. Three national stock exchanges…

SEBI Notification on Certification for Investment Advisers

SEBI, through a notification dated 27 January, 2014 has recognized Certified Financial Planner certification from the Financial Planning and Standards Board India, as being an eligible certification for registration under SEBI (Investment Advisers) Regulations, 2013. However the proviso to paragraph 3 of the Notification exempts only those associated persons, who have already obtained CFP certification…

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