Issuance of Derivative Instruments by Registered Foreign Institutional Investors (FII).

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....e notice of SEBI that some FIIs are issuing derivative/financial instruments against underlying Indian securities. These instruments are known by various names such as Participatory Notes, Equity-Linked Notes, Capped Return Notes, Participating Return Notes etc. With a view to monitoring the investment by FIIs through these derivative / financial instruments, it has been decided that FIIs may repo....

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....y signed / approved by the compliance officer. The reports may be submitted by email (email id : [email protected] ) or by fax (91-22- 284 5776). These instructions are issued under regulation 20 of SEBI (Foreign Institutional Investors) Regulations, 1995 and shall come in force with effect from the month of October 2001. A copy of the circular is available at the web page "Foreign Institu....

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....tor* Issue Date Face Value Maturity Date Maturity Value Number/ Quantity of Derivative Instruments Quantity underlying Indian securities* opening balance issued/ renewed redeemed/ canceled closing balance Date : Signature and name of compliance officer Name of FII * These details should be provided in respect of the closing balances of the derivative ....

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..... C Nature of underlying securities Nature of underlying securities whether equity/ debt/ bond/ derivatives (If possible, ISIN number may also be given) D Name and nationality/country of incorporation of the investor Name and nationality of the investor of the instruments. In case of corporate entities /trusts/funds, etc. the country of incorporation should be mentioned. (These d....