sebi regulator

7/30/2019 SEBI Regulator

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MADE BY : AKSHAY VIRKAR


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Introduction

Headquarters

Board of directors

Role & functions

Guidelines for IPO

Guidelines for brokers & sub-brokers

New regulations of SEBI

Conclusion


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The Securities and Exchange Board of India(frequently abbreviated SEBI) is the regulator forthe securities market in India

Formed by Government of India

Year of establishment: 12 April,1992

Before SEBI the regulatory authority wasController of Capital Issues


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SEBI was a non statutory body without any

statutory power before 1995

In April 1998 the SEBI was constituted as theregulator of capital markets in India under a

resolution of the Government of India

The SEBI is managed by six members

-Chairman nominated by Central Government

- 2 members .i.e. officers of central ministry

-One member from the RBI

-The remaining 2 are nominated by the Central

Government


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Headquarters: Mumbai, Maharashtra


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Mr. U. K. Sinha,Chairman Mr. Prashant SaranWhole-Time Member Mr. Rajeev AgarwalWhole-Time Member


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Mr. Anand Sinha

Deputy GovernorReserve Bank of India

Mr. Naved Masood

Secretary

Mr. V. K. JairathAppointed

Member by GOI

Dr.Thomas Mathew

Joint Secretary


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To protect the interests of investors

To regulate and control the business on stock

exchanges and other security markets

To make registration and to regulate the

functioning of intermediaries

To register and regulate the working of mutual

funds including UTI


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To prohibit frauds and unfair practices of

intermediaries operating on securities

markets

To issue guidelines to companies regarding

capital issues

To conduct inspection, inquiries & audits of

stock exchanges, intermediaries


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1 Registered Under Indian Companies Act 1956

2 Atleast 3 years track record in market

3 Limit on Issue of shares to general public

4 Promoter Contribution


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5 Collection centers for receiving applications

6 Allotment of shares

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Timeframes for the Issue and Post- Issue

formalities

8 Despatch of Refund Orders


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Stock broker means A member of A stock

exchange

Sub broker not being a member of a stock

exchange but acts on behalf of a stock broker

A stock broker & sub broker should hold a

certificate by the board under the regulations


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He holds the membership of any stockexchange

He should accept the rules & regulation of thestock exchange

Changes in the status & constitution a stockbroker should obtain permission from the

board


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Pay the amount of fees provided in the

regulations

He should take adequate steps for the

grievances by the investors


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Pay the amount of fees provided in the regulations

He should take adequate steps for the grievances by

the investors

Changes in the status & constitution a sub broker

should obtain permission from the board

He should be authorized in writing by the stock

broker


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E-IPO will be stating

Size of application of shares has been raised to

Rs.10,000 15,000 from Rs.5,000 7,000

Flexibility in quantity of Total Expense Ratio

allowed

Mutual Funds can accept for application up to

Rs.20,000


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The economic growth of developing countries

such as India needs both well-developed financial

markets and regulation that ensures an orderly

functioning of these markets. The regulatory bodiesin India .i.e. SEBI is governed by special status that

enjoys different legal powers which ensures smooth

transaction between the investors and the markets


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sebi regulator

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