TaxTMI 
TaxTMI 
Form of Annual Report
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....nd approved during the financial year, fund-raising under different categories, median time taken for regulatory approval on aggregate basis) 3.2 Debt Markets and Hybrids A. Policy Developments B. Market Activity and Trends Observed (including details of applications for public issuance received during the financial year, median time taken for regulatory approvals on aggregate basis, fund raising under different categories, etc.) 3.3 Corporate Governance and Corporate Restructuring (Including details of Merger & Acquisition deals, regulatory action taken by Securities and Exchange Board of India (SEBI) for enhancing transparency and improving governance, open offers, issuance of observations on o....
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....ails of market concentration - product and participants-wise; scrips suspended from trading, etc.) 4.2 Equity Derivatives Markets A. Policy Developments B. Market Activity and Trends Observed (including segment and participants-wise performance; details of new products which sought regulatory approval and approved by SEBI; median time taken for such approval; how these products are relevant for market participants and for development of markets, etc.) C. Risk Management Measures (including details of market concentration - product and participants-wise, etc.) 4.3 Commodity Derivatives Markets A. Policy Developments B. Global Commodity Price Movements C. Price Discovery ....
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....ght regulatory approval and approved by SEBI; median time taken for such approval; how these products are relevant for market participants and for development of markets, etc.) C. Risk Management Measures (including details of market concentration - product and participants-wise, etc.) 4.6 Market Infrastructure Institutions (MIIs) Stock Exchanges, Clearing Corporations, Depositories (including details of MIIs functioning; ceased operations during the year; regarding ownership and governance of these institutions; summary comparison of the market development and investor protection measures taken by MIIs; development and regulation of business in MIIs, including their trading and settlement practices, etc.) ....
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....ion amounts, etc.) 5.3 Portfolio Managers A. Policy Developments B. Market Activity and Trends Observed (including categorized list of Portfolio Management Service; AUM; fund inflow / outflow, etc.) C. Risk Management Measures (including categorized list of investors; concentration of investments; NPAs; instances of diversion of funds; quantum of unclaimed units, etc.) 5.4 Collective Investment Schemes (CIS) A. Policy Developments B. Market Activity and Trends Observed (including details of interim and final orders passed by SEBI on the deemed CIS/CIS; the details of restitution of money to the investors through SEBI in case of unregistered CIS) 5.5 Real Estate Investme....
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....es with exchanges, depositories, etc. 8.2 Investor Centric Policy Measures A. Primary Market B. Secondary Market (equity, debt, commodity, interest rate, currency, etc.) C. Market Infrastructure Institutions D. Intermediaries E. Foreign Portfolio Investors and Foreign Venture Capital Investors F. Fund Management Activities: Mutual funds; Portfolio Managers; REITs and InvITs; Collective Investment Schemes; Alternative Investment Funds; Investment Advisors G. Credit Rating Agencies/Debenture Trustees 8.3 Redressal of Investors' Grievances A. Investor grievances received and redressed (including their type, increase in number and geographic location and s....
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....re violations, etc.) E. Fraudulent and Unfair Trade Practices (including details such as type, number of cases reported to SEBI and steps taken to prevent such practices) 10.2 Regulatory Actions A. Orders 1) Statutory warning/Enquiry (under Intermediaries Regulations) 2) Debarment/Disgorgement (under section 11B of the Act) 3) Number of interim and final orders passed in cases of deemed public issuances, etc. B. Adjudicating Orders 1) For disclosure violation 2) For any other C. Recovery Proceedings (amount recovered and not recovered) D. Prosecution Proceedings E. Settlement and Compounding (amount settled / compounded; types of viol....