Get the free Subject: Compliance with SEBI circular on Delivery Instruction Slip (DIS) Issuance a...

15 Dec 2016 ... Dear Sir / Madam, Subject: Master Circular for Depositories ... KYC process. 1.1. 4 SARAH Account Opening Form for resident individuals. 1.1.5 Clarifications with regard to KYC requirement

How to fill out subject compliance with sebi

How to fill out subject compliance with sebi

1. Step 1: Collect all the necessary documents and information related to the subject that needs compliance with SEBI.
2. Step 2: Understand the SEBI guidelines and regulations applicable to the subject compliance.
3. Step 3: Fill out the subject compliance form provided by SEBI accurately and completely.
4. Step 4: Attach all the required documents and evidence to support the compliance.
5. Step 5: Review the filled form and documents for any errors or missing information.
6. Step 6: Submit the filled form and documents to the appropriate SEBI designated office or portal.
7. Step 7: Keep track of the progress of the compliance process and follow up if required.
8. Step 8: Respond promptly to any queries or requests for further information from SEBI.
9. Step 9: Once the compliance is approved by SEBI, maintain proper records and documentation for future reference and audit purposes.

Who needs subject compliance with sebi?

1. Companies listed on stock exchanges in India.
2. Mutual funds and asset management companies.
3. Stockbrokers and brokerage firms.
4. Investment advisors and financial intermediaries.
5. Credit rating agencies.
6. Depositories and custodians.
7. Venture capital funds and private equity firms.
8. Any entity involved in securities trading or dealing.

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What is subject compliance with sebi?

Subject compliance with SEBI refers to the adherence to regulations and guidelines set by the Securities and Exchange Board of India.

Who is required to file subject compliance with sebi?

Entities under the jurisdiction of SEBI, such as listed companies, brokers, and mutual funds, are required to file subject compliance.

How to fill out subject compliance with sebi?

Subject compliance with SEBI can be filled out online through the SEBI portal or through a registered intermediary.

What is the purpose of subject compliance with sebi?

The purpose of subject compliance with SEBI is to ensure transparency, accountability, and investor protection in the securities market.

What information must be reported on subject compliance with sebi?

Information such as financial statements, shareholding patterns, related party transactions, and corporate governance practices must be reported on subject compliance with SEBI.