In exercise of the powers conferred by section 30 of the Securities and Exchange Board of India Act, 1992 15 of 1992, the Board hereby makes the following regulations to further amend the Securities and Exchange Board of India Mutual Funds Regulations, 1996, namely

jftLVªh laö Mhö ,yö&33004@99 REGD. NO. D. L.-33004/99 vlk/kj.k EXTRAORDINARY Hkkx III—[k.M 4 PART III—Section 4 izkf/dkj ls izdkf'kr PUBLISHED BY AUTHORITY la- 65] ubZ fnYyh] 'kqØokj] iQjojh 12] 2016@ek?k 23] 1937 No. 65] NEW DELHI, FRIDAY, FEBRUARY 12, 2016/MAGHA 23 , 1937 भारतीय (cid:8)(cid:9)तभू(cid:9)त और (cid:12)व(cid:9)नमय बोड (cid:19) अ(cid:21)धसूचना मु(cid:4)बई, 12 फरवर(cid:13), 2016 (भारतीय (cid:8)(cid:9)तभू(cid:9)त और (cid:12)व(cid:9)नमय बोड)(cid:19) (पार(cid:28)प(cid:29)रक (cid:9)न(cid:21)ध) (संशोधन) (cid:12)व(cid:9)नयम, 2016 सं. सेबी/एल.ए.डी.एन.आर.ओ./जी.एन./2015-16/034.—बोड,(cid:18) भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) अ(cid:31)ध(cid:25)नयम, 1992 (1992 का 15) क& धारा 30 (वारा (cid:24)द*त शि-तय. का (cid:24)योग करते हुए एत3वारा भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (cid:28)व(cid:25)नयम, 1996 का और संशोधन करने के 9लए (cid:25)न(cid:4)न9ल;खत (cid:28)व(cid:25)नयम बनाता है, अथा(cid:18)त:्- 1. इन (cid:28)व(cid:25)नयम. को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (संशोधन) (cid:28)व(cid:25)नयम, 2016 कहा जा सकेगा । 2. वे राजपF मG उनके (cid:24)काशन क& तार(cid:13)ख को (cid:24)व*ृ त ह.गे । 3. भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (cid:28)व(cid:25)नयम, 1996 मG, सातवीं अनुसूची मG,- (i) खंड 1 (cid:25)न(cid:4)न9ल;खत से (cid:24)(cid:25)त5था(cid:28)पत हो जाएगा, अथा(cid:18)त,्- "1. पार5प6रक (cid:25)न(cid:31)ध 5क&म एकल (cid:25)नगम(cid:18) कता(cid:18) (सोल इLयुअर) (वारा जार(cid:13) उन ऋण 9लखत. (डटै इं5PमGQस) [िजनमG मुSा बाजार 9लखतG (मनी माकTट इं5PमGQस) और गैर मुSा बाजार 9लखतG समा(cid:28)वUट हV] मG अपने एनएवी के 10% से अ(cid:31)धक (cid:25)नवेश ((cid:28)व(cid:25)नधान) नह(cid:13)ं करेगी, िजYहG साख (cid:25)नधा(cid:18)रण एजसG ी (Zे[डट रे\टगं एजसG ी) [जो अ(cid:31)ध(cid:25)नयम के अधीन ऐसा ^Zयाकलाप (ऐसी ऐि-ट(cid:28)वट(cid:13)) करने के 9लए (cid:24)ा(cid:31)धकृत हो] (वारा (cid:25)नवेश _ेणी (इYवे5टमGट ‘ेड) से नीचे क& रे\टगं न 750 GI/2016 (1)2 THE GAZETTE OF INDIA : EXTRAORDINARY [PART III—SEC. 4] द(cid:13) गई हो । ऐसी (cid:25)नवेश ((cid:28)व(cid:25)नधान) सीमा Yयासी बोड (cid:18) और आि5त (cid:24)बधं कंपनी (असेट मैनेजमGट कंपनी) के (cid:25)नदेशक बोड (cid:18) का पूव (cid:18) अनुमोदन लेकर 5क&म के एनएवी के 12% तक बढ़ाई जा सकेगी : परंत ु यह ^क ऐसी सीमा सरकार(cid:13) (cid:24)(cid:25)तभू(cid:25)तय., खजाना हुं[डय. (cेज़र(cid:13) eबfस) और संपािLव(cid:18)क&कृत (कलैटरलाइgड) उधार लेने-देने संबंधी दा(cid:25)य*व. मG (cid:25)नवेश ((cid:28)व(cid:25)नधान) के 9लए लागू नह(cid:13)ं होगी : परंत ु यह और ^क ऐसी सीमा के भीतर (cid:25)नवेश ((cid:28)व(cid:25)नधान) उन बंधक सम(cid:31)थत(cid:18) (cid:24)(cid:25)तभूत ऋण (मॉगTज़ बै-ड 9स-यू6रटाइgड डटै ) मG ^कया जा सकता है, िजYहG बोड (cid:18) से रिज5c(cid:13)कृत साख (cid:25)नधा(cid:18)रण एजसG ी (Zे[डट रे\टगं एजसG ी) (वारा (cid:25)नवेश _ेणी (इYवे5टमGट ‘ेड) से नीचे क& रे\टगं न द(cid:13) गई हो : परंत ु यह और ^क पहले से ह(cid:13) मौजदू 5क&मG, यथो(cid:31)चत समय के भीतर और उसी (cid:24)कार से, जसै ा बोड (cid:18) (वारा (cid:25)नधा(cid:18)6रत ^कया जाए, ऐसी सीमाओं का पालन करGगी ।"; (ii) खंड 1ख का लोप हो जाएगा । य.ू के. 9सYहा, अlयm [(cid:28)वnापन-III/4/असा./366] पाद 4ट6पण : 1. भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (cid:28)व(cid:25)नयम, 1996, मूल (cid:28)व(cid:25)नयम, का.आ. सं. 856(अ), 9 \दस(cid:4)बर, 1996 को भारत के राजपF मG (cid:24)का9शत हुए थे । 2. भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (cid:28)व(cid:25)नयम, 1996 त*पLचात ् - (1) 15 अ(cid:24)लै , 1997 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (संशोधन) (cid:28)व(cid:25)नयम, 1997, का.आ. सं. 327(अ), (वारा (2) 12 जनवर(cid:13), 1998 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (संशोधन) (cid:28)व(cid:25)नयम, 1998, का.आ. सं. 32(अ), (वारा (3) 8 \दस(cid:4)बर, 1999 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (संशोधन) (cid:28)व(cid:25)नयम, 1999, का.आ. सं. 1223(अ), (वारा (4) 14 माच,(cid:18) 2000 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (संशोधन) (cid:28)व(cid:25)नयम, 2000, का.आ. सं. 235(अ), (वारा (5) 28 माच,(cid:18) 2000 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) ((cid:24)(cid:25)तभू(cid:25)त अपील(cid:13)य Yयाया(cid:31)धकरण को अपील) (संशोधन) (cid:28)व(cid:25)नयम, 2000, का.आ. सं. 278(अ), (वारा (6) 22 मई, 2000 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड(cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (दसू रा संशोधन) (cid:28)व(cid:25)नयम, 2000, का.आ. सं. 484(अ), (वारा (7) 23 जनवर(cid:13), 2001 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (संशोधन) (cid:28)व(cid:25)नयम, 2001, का.आ. सं. 69(अ), (वारा (8) 29 मई, 2001 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड(cid:18) (मlयव(cid:25)तय(cid:18) . (वारा (cid:28)व(cid:25)नधान सलाह) (संशोधन) (cid:28)व(cid:25)नयम, 2001, का.आ. सं. 476(अ), (वारा¹Hkkx IIIµ[k.M 4º Hkkjr dk jkti=k % vlk/kj.k 3 (9) 23 जलु ाई, 2001 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड(cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (दसू रा संशोधन) (cid:28)व(cid:25)नयम, 2001, का.आ. सं. 698(अ), (वारा (10) 20 फरवर(cid:13), 2002 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (संशोधन) (cid:28)व(cid:25)नयम, 2002, का.आ. सं. 219(अ), (वारा (11) 11 जनू , 2002 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (दसू रा संशोधन) (cid:28)व(cid:25)नयम, 2002, का.आ. सं. 625(अ), (वारा (12) 30 जलु ाई, 2002 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (तीसरा संशोधन) (cid:28)व(cid:25)नयम, 2002, का.आ. सं. 809(अ), (वारा (13) 9 9सत(cid:4)बर, 2002 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (चौथा संशोधन) (cid:28)व(cid:25)नयम, 2002, का.आ. सं. 956(अ), (वारा (14) 27 9सत(cid:4)बर, 2002 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (जांच अ(cid:31)धकार(cid:13) (वारा जांच करने और शाि5त अ(cid:31)धरो(cid:28)पत करने के 9लए (cid:24)^Zया) (cid:28)व(cid:25)नयम, 2002, का.आ. सं. 1045(अ), (वारा (15) 29 मई, 2003 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (संशोधन) (cid:28)व(cid:25)नयम, 2003, का.आ. सं. 632(अ), (वारा (16) 12 जनवर(cid:13), 2004 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (संशोधन) (cid:28)व(cid:25)नयम, 2004, फा.सं. भा(cid:24)(cid:28)वबो/(cid:28)वका(cid:28)व/नी(cid:24)/4/2004, (वारा (17) 10 माच,(cid:18) 2004 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (उपय-ु त तथा उ(cid:31)चत sयि-त के 9लए मानदंड) (cid:28)व(cid:25)नयम, 2004, का.आ. सं. 398(अ), (वारा (18) 12 जनवर(cid:13), 2006 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (संशोधन) (cid:28)व(cid:25)नयम, 2006, का.आ. सं. 38(अ), (वारा (19) 22 मई, 2006 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड(cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (दसू रा संशोधन) (cid:28)व(cid:25)नयम, 2006, का.आ. सं. 783(अ), (वारा (20) 3 अग5त, 2006 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (तीसरा संशोधन) (cid:28)व(cid:25)नयम, 2006, का.आ. सं. 1254(अ), (वारा (21) 27 \दस(cid:4)बर, 2006 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (चौथा संशोधन) (cid:28)व(cid:25)नयम, 2006, फा. सं. भा(cid:24)(cid:28)वबो/(cid:28)वका(cid:28)व/नी(cid:24)/82534/2006, (वारा (22) 27 \दस(cid:4)बर, 2006 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (पाँचवाँ संशोधन) (cid:28)व(cid:25)नयम, 2006, फा. सं. भा(cid:24)(cid:28)वबो/ (cid:28)वका(cid:28)व/नी(cid:24)/83065/2006, (वारा (23) 28 मई, 2007 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (संशोधन) (cid:28)व(cid:25)नयम, 2007, फा. सं. 11/एलसी/जीएन/2007/2518, (वारा (24) 31 अ-तूबर, 2007 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (दसू रा संशोधन) (cid:28)व(cid:25)नयम, 2007, फा. सं. 11/एलसी/जीएन/2007/4646, (वारा4 THE GAZETTE OF INDIA : EXTRAORDINARY [PART III—SEC. 4] (25) 31 माच,(cid:18) 2008 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (फ&स का संदाय) (संशोधन) (cid:28)व(cid:25)नयम, 2008, फा. सं. 11/एलसी/जीएन/2008/21669, (वारा (26) 16 अ(cid:24)लै , 2008 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (संशोधन) (cid:28)व(cid:25)नयम, 2008, फा. सं. एलएजी-एनआरओ/जीएन/2008/03 /123042, (वारा (27) 22 मई, 2008 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (दसू रा संशोधन) (cid:28)व(cid:25)नयम, 2008, सं. एल.ए.डी.-एन.एन.ओ./जी.एन./2008/09/126202, (वारा (28) 29 9सत(cid:4)बर, 2008 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (तीसरा संशोधन) (cid:28)व(cid:25)नयम, 2008, सं. एलएडी-एनआरओ/जीएन/2008/24/139426, (वारा (29) 8 अ(cid:24)लै , 2009 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (संशोधन) (cid:28)व(cid:25)नयम, 2009, सं. एल.ए.डी.-एन.आर.ओ./जी.एन./2009-10/01/159601, (वारा (30) 5 जनू , 2009 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (दसू रा संशोधन) (cid:28)व(cid:25)नयम, 2009, सं. एल.ए.डी.-एन.आर.ओ./जी.एन./ 009-10/07/165404, (वारा (31) 29 जलु ाई, 2010 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (संशोधन) (cid:28)व(cid:25)नयम, 2010, सं. एलएडी-एनआरओ/जीएन/2010-11/13/13945, (वारा (32) 30 अग5त 2011 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (संशोधन) (cid:28)व(cid:25)नयम, 2011, सं. एलएडी-एनआरओ/जीएन/2011-12/27668, (वारा (33) 21 फरवर(cid:13), 2012 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (संशोधन) (cid:28)व(cid:25)नयम, 2012, सं. एलएडी-एनआरओ/जीएन/2011-12/38/4290, (वारा (34) 26 9सत(cid:4)बर, 2012 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (दसू रा संशोधन) (cid:28)व(cid:25)नयम, 2012, सं. एल.ए.डी.-एन.आर.ओ./जी.एन./2012-13/17/21502, (वारा (35) 16 अ(cid:24)लै , 2013 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (संशोधन) (cid:28)व(cid:25)नयम, 2013, सं. एल.ए.डी.-एन.आर.ओ./जी.एन./2013-14/03/5652, (वारा (36) 19 जनू , 2013 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड(cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (दसू रा संशोधन) (cid:28)व(cid:25)नयम, 2013, सं. एल.ए.डी.-एन.आर.ओ./जी.एन./2013-14/12/6108, (वारा (37) 19 अग5त, 2013 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (तीसरा संशोधन) (cid:28)व(cid:25)नयम, 2013, सं. एल.ए.डी.-एन.आर.ओ./जी.एन./2013-14/18/6384, (वारा (38) 6 मई, 2014 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (संशोधन) (cid:28)व(cid:25)नयम, 2014, सं. एलएडी/एनआरओ/जीएन/2014-15/01/1039, (वारा (39) 23 मई, 2014 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (फ&स का संदाय) (संशोधन) (cid:28)व(cid:25)नयम, 2014, सं. एल.ए.डी.-एन.आर.ओ./जी.एन./2014-15/03/1089, (वारा (40) 30 \दस(cid:4)बर, 2014 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (दसू रा संशोधन) (cid:28)व(cid:25)नयम, 2014, सं. एलएडी- एन.आर.ओ./जी.एन./2014-15/19/1973, (वारा¹Hkkx IIIµ[k.M 4º Hkkjr dk jkti=k % vlk/kj.k 5 (41) 15 मई, 2015 को भारतीय (cid:24)(cid:25)तभू(cid:25)त और (cid:28)व(cid:25)नमय बोड (cid:18) (पार5प6रक (cid:25)न(cid:31)ध) (संशोधन) (cid:28)व(cid:25)नयम, 2015, सं. सेबी-एन.आर.ओ./ओ.आई.ए.इ./जी.एन./2015-16/005, (वारा SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 12th February, 2016 SECURITIES AND EXCHANGE BOARD OF INDIA (MUTUAL FUNDS) (AMENDMENT) REGULATIONS, 2016 No. SEBI/LAD-NRO/GN/2015-16/034.—In exercise of the powers conferred by section 30 of the Securities and Exchange Board of India Act, 1992 (15 of 1992), the Board hereby makes the following regulations to further amend the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996, namely:— 1. These Regulations may be called the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 2016. 2. They shall come into force on the date of their publication in the Official Gazette. 3. In the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996, in the Seventh Schedule,— (i) clause 1 shall be substituted with the following words, figures and symbols, namely,— "1. A mutual fund scheme shall not invest more than 10% of its NAV in debt instruments comprising money market instruments and non-money market instruments issued by a single issuer which are rated not below investment grade by a credit rating agency authorised to carry out such activity under the Act. Such investment limit may be extended to 12% of the NAV of the scheme with the prior approval of the Board of Trustees and the Board of Directors of the asset management company: Provided that such limit shall not be applicable for investments in Government Securities, treasury bills and collateralized borrowing and lending obligations: Provided further that investment within such limit can be made in mortgaged backed securitised debt which are rated not below investment grade by a credit rating agency registered with the Board: Provided further that the schemes already in existence shall within an appropriate time and in the manner, as may be specified by the Board, conform to such limits."; (ii) clause 1B shall be omitted. U. K. SINHA, Chairman [ADVT.III/4/Exty.366] Footnote: 1. The Securities and Exchange Board of India (Mutual Funds) Regulations, 1996, the Principal Regulations, were published in the Gazette of India on December 9, 1996 vide S.O. No. 856(E). 2. The Securities and Exchange Board of India (Mutual Funds) Regulations, 1996 were subsequently amended— (1) on April 15, 1997 by the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 1997 vide S.O. No. 327(E). (2) on January 12, 1998 by the Securities and Exchange Board of India (Mutual Funds)(Amendment) Regulations, 1998 vide S.O. No. 32(E). (3) on December 08, 1999 by the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 1999 vide S.O. No. 1223(E). (4) on March 14, 2000 by the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 2000 vide S.O. No. 235(E). (5) on March 28, 2000 by the Securities and Exchange Board of India (Appeal to the Securities Appellate Tribunal) (Amendment) Regulations, 2000 vide S.O. No. 278(E).6 THE GAZETTE OF INDIA : EXTRAORDINARY [PART III—SEC. 4] (6) on May 22, 2000 by the Securities and Exchange Board of India (Mutual Funds) (Second Amendment) Regulations, 2000 vide S.O. No. 484(E). (7) on January 23, 2001 by the Securities and Exchange Board of India (Mutual Funds)(Amendment) Regulations, 2001 vide S.O. No. 69(E). (8) on May 29, 2001 by the Securities and Exchange Board of India (Investment Advice by Intermediaries) (Amendment) Regulations, 2001 vide S.O. No. 476(E). (9) on July 23, 2001 by the Securities and Exchange Board of India (Mutual Funds) (Second Amendment) Regulations, 2001 vide S.O. No. 698(E). (10) on February 20, 2002 by the Securities and Exchange Board of India (Mutual Funds)(Amendment) Regulations, 2002 vide S.O. No. 219(E). (11) on June 11, 2002 by the Securities and Exchange Board of India (Mutual Funds) (Second Amendment) Regulations, 2002 vide S.O. No. 625(E). (12) on July 30, 2002 by the Securities and Exchange Board of India (Mutual Funds) (Third Amendment) Regulations, 2002 vide S.O. No. 809(E). (13) on September 9, 2002 by the Securities and Exchange Board of India (Mutual Funds)(Fourth Amendment) Regulations, 2002 vide S.O. No. 956(E). (14) on September 27, 2002 by the Securities and Exchange Board of India (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002 vide S.O. No. 1045(E). (15) on May 29, 2003 by the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 2003 vide S.O. No. 632(E). (16) on January 12, 2004 by the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 2004 vide F.No. SEBI/LAD/DOP/4/2004. (17) on March 10, 2004 by the Securities and Exchange Board of India (Criteria for Fit and Proper Person) Regulations, 2004 vide S.O. No. 398(E). (18) on January 12, 2006 by the Securities and Exchange Board of India (Mutual Funds)(Amendment) Regulations, 2006 vide S.O. No. 38(E). (19) on May 22, 2006 by the Securities and Exchange Board of India (Mutual Funds) (Second Amendment) Regulations, 2006 vide S.O. No. 783(E). (20) on August 3, 2006 by the Securities and Exchange Board of India (Mutual Funds) (Third Amendment) Regulations, 2006 vide S.O. No. 1254(E). (21) on December 27, 2006 by the Securities and Exchange Board of India (Mutual Funds) (Fourth Amendment) Regulations, 2006 vide F. No. SEBI/LAD/DOP/82534/2006. (22) on December 27, 2006 by the Securities and Exchange Board of India (Mutual Funds) (Fifth Amendment) Regulations, 2006 vide F. No. SEBI/LAD/DOP/83065/2006. (23) on May 28, 2007 by the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 2007 vide F. No. 11/LC/GN/2007/2518. (24) on October 31, 2007 by the Securities and Exchange Board of India (Mutual Funds) (Second Amendment) Regulations, 2007 vide F. No. 11/LC/GN/2007/4646. (25) on March 31, 2008 by the Securities and Exchange Board of India (Payment of Fees) (Amendment) Regulations, 2008 vide F. No. 11/LC/GN/2008/21669. (26) on April 16, 2008 by the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 2008 vide F. No. LADNRO/ GN/2008/03/123042. (27) on May 22, 2008 by the Securities and Exchange Board of India (Mutual Funds) (Second Amendment) Regulations, 2008 vide No. LADNRO/GN/2008/09/126202. (28) on September 29, 2008 by the Securities and Exchange Board of India (Mutual Funds) (Third Amendment) Regulations, 2008 vide No. LADNRO/ GN/2008/24/139426. (29) on April 8, 2009 by the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 2009 vide No. LAD-NRO/GN/2009-10/01/159601.¹Hkkx IIIµ[k.M 4º Hkkjr dk jkti=k % vlk/kj.k 7 (30) on June 5, 2009 by the Securities and Exchange Board of India (Mutual Funds) (Second Amendment) Regulations, 2009 vide No. LAD- NRO/GN/2009-10/07/165404. (31) on July 29, 2010 by the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 2010 vide No. LAD-NRO/GN/2010-11/13/13945. (32) on August 30, 2011 by the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 2011 vide No. LAD-NRO/GN/2011-12/27668. (33) on February 21, 2012 by the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 2012 vide No. LAD-NRO/GN/2011-12/38/4290. (34) on 26th September, 2012 by the Securities and Exchange Board of India (Mutual Funds) (Second Amendment) Regulations, 2012 vide No. LAD-NRO/GN/2012-13/17/21502. (35) on 16th April, 2013 by the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 2013 vide No. LAD-NRO/GN/2013-14/03/5652. (36) on 19th June, 2013 by the Securities and Exchange Board of India (Mutual Funds) (Second Amendment) Regulations, 2013 vide No. LAD-NRO/GN/2013-14/12/6108. (37) on 19th August, 2013 by the Securities and Exchange Board of India (Mutual Funds) (Third Amendment) Regulations, 2013 vide No. LAD-NRO/GN/2013-14/18/6384. (38) on 6th May, 2014 by the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 2014 vide No. LAD-NRO/GN/2014-15/01/1039. (39) on 23rd May, 2014 by the Securities and Exchange Board of India (Payment of Fees) (Amendment) Regulations, 2014 vide No. LAD-NRO/GN/2014-15/03/1089. (40) on 30th December, 2014 by the Securities and Exchange Board of India (Mutual Funds) (Second Amendment) Regulations, 2014 No. LAD-NRO/GN/2014-15/19/1973. (41) on 15th May, 2015 by the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 2015 No. NRO-OIAE/GN/2015-16/005 Uploaded by Dte. of Printing at Government of India Press, Ring Road, Mayapuri, New Delhi-110064 and Published by the Controller of Publications, Delhi-110054.