June 2017

SEBI proposes revamp of the Investment Advisers Regulations

The SEBI (Investment Advisers) Regulations was notified in 2013 making it mandatory for investment advisers to obtain a certificate of registration from SEBI and to adhere to various safeguards intended at minimizing any conflicts of interest between the interests of the advisers and those of their clients. In its constant endeavour to improve these safeguards,…

SEBI Informal Guidance on Lock-In Requirements

Recently, SEBI has issued an informal guidance to PC Jeweller Limited (“Applicant”) in relation to the lock-in requirements of the pre-preferential allotment shareholding of an allottee of unlisted convertible securities under Regulation 78 of the SEBI (ICDR) Regulations, 2009 (“SEBI ICDR Regulations”). In the matter of M/s PC Jeweller Limited Facts The Applicant is a…

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