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Regulation Of Business In The Stock Exchanges
A) A inspect of the market operations, organizational edifice and administrative control of the bourse
All stock exchanges are required to be Body Corporates.
The exchange provides a above mediocrity, equitable and growing market to investors.
The swap’s organisation, systems and practices are in concurrence with the Securities Contracts (Regulation) Act (SC(R) Act), 1956
B) Registration and Regulation of the Working of Intermediaries
regulates the in operation of the depositories [participants], custodians of securities, outward institutional investors, credit rating agencies and similar other intermediaries
SEBI (Mutual Funds) Regulations, 1996 lays into a denser consistence the provisions for the appointment of the trustees and their obligations
Every of the present day scheme launched by a mutual means needs to be filed with SEBI and SEBI reviews the paper in regard to the disclosures contained in like documents.
Regulations have been laid along the course of regarding listing of funds, refund procedures, make over procedures, disclosures, guaranteeing returns etc
SEBI has moreover laid down advertisement code to have ~ing followed by a mutual fund in fabrication any publicity regarding a scheme and its entertainment
SEBI has prescribed norms / restrictions during the term of investment management with a view to minimize / render undue investment risks.
SEBI also has the authorization to initiate penal actions against each erring MF.
In case of a change in the controlling interest of one asset management company, investors should have ~ing given at least 30 days time to exert their exit option.
C) Registration and Regulation of Mutual Funds, Venture Capital Funds & Collective Investment Schemes
AMFI-Self Regulatory Organization-'promoting and protecting the weal of mutual funds and their one-holders, increasing public awareness of interchangeable funds, and serving the investors' interest by defining and maintaining high ethical and professional standards in the interchangeable funds industry'....
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