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  • SEBI proposals on financial disclosures - viva short term

    SEBI's advisory committee on disclosures and accounting standards has come out with several recommendations for improvement of disclosures standards of listed companies. One of the proposals is to increase the frequency of the disclosure of the balance sheet from the current annual basis to a semi...
    Posted to Initial Private Opinion (Weblog) Posted by Sandeep Parekh on 09-15-2009

  • Are American Depository Receipts shares?

    Today's Economic Times reports RBI is considering American Depository Receipts (ADRs) as 'quasi equity' not carrying voting rights and therefore not be considered as FDI. This view perpetuates the deeply flawed view taken by SEBI as well, that ADRs/GDRs do not carry voting rights 'till...
    Posted to Initial Private Opinion (Weblog) Posted by Sandeep Parekh on 08-19-2009

  • Is RBI running an illegal exchange?

    In a somewhat cryptic Board agenda note of SEBI, the securities regulator seems to be suggesting that the RBI is running an illegal exchange under the Securities Contracts (Regulation) Act 1956" 4.6 The stock exchange under the law is a body corporate under the Companies Act for the purpose of assisting...
    Posted to Initial Private Opinion (Weblog) Posted by Sandeep Parekh on 08-04-2009

  • Will you pay a fee for Mutual Funds?

    Winds of change are blowing at hurricane speed in the Mutual Fund industry. From Aug 1, 2009 , investors would not have to pay any entry load in any Mutual Fund Scheme. SEBI has recommended that instead, they - the investor - would have to compensate their financial advisor a suitable amount for advisory...
    Posted to Simple Equation (Weblog) Posted by Harish Rao on 07-29-2009

  • SEBI - industry representation in SEBI

    In a welcome change, SEBI has appointed someone from the market as an executive director. See SEBI Press Release here: "Shri K.N. Vaidyanathan takes charge as Executive Director, SEBI Shri Kavasseri Narayanan Vaidyanathan took charge as Executive Director, Securities and Exchange Board of India...
    Posted to Initial Private Opinion (Weblog) Posted by Sandeep Parekh on 07-02-2009

  • SEBI fees - another round of fee cuts

    This is the third time in less than two years that SEBI has cut its fees - that it charges from intermediaries. The fee cuts are a result of a ballooning SEBI fund - a fund well in excess of what SEBI needs to operate for a decade or more even if it stops collecting any more fees. See my previous post...
    Posted to Initial Private Opinion (Weblog) Posted by Sandeep Parekh on 06-23-2009

  • What, No Load !!! What, No Load ???

    SEBI has just decreed that Mutual Funds in India will not charge a load. And many Financial Advisors have concluded that the epitaph in their tombstone has just been carved in granite by SEBI. Having keenly observed and been an enthusiastic participant in the Investment Advisory business for more than...
    Posted to Simple Equation (Weblog) Posted by Harish Rao on 06-21-2009

  • Superior voting rights - outlawed

    In yesterday's Board meeting SEBI has come out with a prohibition on issuing superior voting rights. This is the correct thing to do and is an internationally accepted practice. The Board decision as reflected in the PR says: "(iv) Issue of shares with superior voting rights No listed company...
    Posted to Initial Private Opinion (Weblog) Posted by Sandeep Parekh on 06-19-2009

  • Delisting Regulations - good news for investors

    SEBI has come out with new delisting regulations which provide for: a) Voluntary delisting of a listed company by a reverse book building process. b) An easier voluntary delisting for very small and illiquid companies. c) A very easy delisting from defunct exchanges if the same company remains listed...
    Posted to Initial Private Opinion (Weblog) Posted by Sandeep Parekh on 06-12-2009

  • US SEC's reputation in tatters

    In a rather shocking news last month (based on an investigation begun in 2008), three officers of the enforcement department (division) of the US market regulator, SEC, appeared to have committed insider trading on stocks which were being investigated. Here is the report of the Inspector General of the...
    Posted to Initial Private Opinion (Weblog) Posted by Sandeep Parekh on 06-04-2009
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