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Date: 2018-05-30 Category: Extra Ordinary State: Union Government Country: India

In exercise of the powers conferred by section 30 of the Securities and Exchange Board of India Act

Issued by Securities and Exchange Board of India · Not Applicable

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Executive Summary & Key Takeaways

Executive Summary: This document contains the Securities and Exchange Board of India (Bankers to an Issue Amendment) Regulations, 2018. It amends the Securities and Exchange Board of India Bankers to an Issue Regulations, 1994. The regulations came into force on May 30, 2018, the date of their publication in the Official Gazette. Key Points / Main Content: Amendments to the 1994 Regulations: * Regulation 12, sub-regulation 3: The word "three" is substituted with the word "eight". Authority: * The regulations are issued under the powers conferred by section 30 of the Securities and Exchange Board of India Act, 1992. Impact Analysis: Bankers to an Issue: * Impact: Bankers to an Issue will be subject to the amended regulations, specifically regarding regulation 12, sub-regulation 3, where "three" is substituted with the word "eight." * Action Required: Ensure compliance with the updated regulations. Securities and Exchange Board of India (SEBI): * Impact: SEBI is responsible for enforcing the amended regulations. * Action Required: Implement and oversee the enforcement of the updated regulations.

Key Entities Referenced

Securities and Exchange Board of India: Regulatory body for securities and commodity market in India. New Delhi: Capital of India and place of publication of the Gazette. Securities and Exchange Board of India Act, 1992: The Act that establishes and governs the Securities and Exchange Board of India. Securities and Exchange Board of India Bankers to an Issue Regulations, 1994: Regulations pertaining to bankers involved in the issuance of securities. Securities and Exchange Board of India Bankers to an Issue Amendment Regulations, 2018: Amendment regulations to the 1994 regulations concerning bankers to an issue. Ajay Tyagi: Chairman of SEBI at the time of publication. Official Gazette of India: The official government publication for notifications and regulations. Mumbai: City in Maharashtra, location of SEBI.
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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- 202] ubZ fnYyh] cq/okj] ebZ 30] 2018@(cid:1)(cid:1)(cid:1)(cid:1)यय यय (cid:5)(cid:5)ेे(cid:5)(cid:5)ेे ठठ ठठ 9] 1940 No. 202] NEW DELHI, WEDNESDAY, MAY 30, 2018/JYAISTHA 9, 1940 भभभभााााररररततततीीीीयययय (cid:8)(cid:8)(cid:8)(cid:8)ििििततततभभभभििििूूूू तततत औऔऔऔरररर ििििववववििििननननममममयययय बबबबोोोोडडडड (cid:18)(cid:18) (cid:18)(cid:18) अअअअििििधधधधससससचचूूचचूू ननननाााा मु(cid:3)बई, 30 मई, 2018 भभभभााााररररततततीीीीयययय (cid:8)(cid:8)(cid:8)(cid:8)ििििततततभभभभििििूूूू तततत औऔऔऔरररर ििििववववििििननननममममयययय बबबबोोोोडडडड (cid:18)(cid:18) (cid:18)(cid:18) ((((ििििननननगगगगमममम(cid:18)(cid:18)(cid:18)(cid:18) नननन बबबब(cid:20)क(cid:20)क(cid:20)क(cid:20)कककककाााारररर)))) ((((ससससशशशशंंंं ोोोोधधधधनननन)))) ििििववववििििननननययययमममम,,,, 2222000011118888 सससस...ंं.ंं ससससबबेेबबेे ीीीी////एल.ए.डी.-एएएएनननन.आआआआरररर.ओओओओ.////जजजजीीीी.एएएएनननन.////2222000011118888////11116666.—बोड,(cid:8) भारतीय (cid:16)ितभूित और िविनमय बोड (cid:8) अिधिनयम, 1992 (1992 का 15) क(cid:25) धारा 30 (cid:26)ारा (cid:16)द(cid:28) शि(cid:30)य(cid:31) का (cid:16)योग करते "ए एत$ारा भारतीय (cid:16)ितभिू त और िविनमय बोड (cid:8) (िनग(cid:8)मन ब&ककार) िविनयम, 1994 का और संशोधन करने के िलए िन(िलिखत िविनयम बनाता ह,ै अथा(cid:8)त,् — 1. इन िविनयम(cid:31) को भारतीय (cid:16)ितभूित और िविनमय बोड (cid:8)(िनगम(cid:8) न ब&ककार) (संशोधन) िविनयम, 2018 कहा जा सकेगा । 2. वे राजप2 म3 उनके (cid:16)काशन क(cid:25) तारीख को (cid:16)वृ(cid:28) ह(cid:31)गे । 3. भारतीय (cid:16)ितभूित और िविनमय बोड (cid:8)(िनग(cid:8)मन ब&ककार) िविनयम, 1994 म,3- i. िविनयम 12 म,3 उप-िविनयम (3) म,3 श8द “तीन” श8द “आठ” से (cid:16)ित9थािपत हो जाएगा । अजय :यागी, अ;य< [िव=ापन-III/4/असा./78/18] पपपपाााादददद (cid:22)(cid:22)(cid:22)(cid:22)टटटट(cid:24)(cid:24)(cid:24)(cid:24)पपपपणणणणःःःः 1. मूल िविनयम भारतीय (cid:16)ितभिू त और िविनमय बोड (cid:8) (िनगम(cid:8) न ब&ककार) िविनयम, 1994, फा. स.ं सेबी/एलई/7/94, 14 जुलाई, 1994 को भारत के राजप2 म3 (cid:16)कािशत "ए थे। 3025 GI/2018 (1)2 THE GAZETTE OF INDIA : EXTRAORDINARY [PART III—SEC. 4] 2. भारतीय (cid:16)ितभूित और िविनमय बोड (cid:8)(िनग(cid:8)मन ब&ककार) िविनयम, 1994 त:प>ात्ः क) 28 नव(cid:3)बर, 1995 को भारतीय (cid:16)ितभिू त और िविनमय बोड (cid:8) (फ(cid:25)स का संदाय) (संशोधन) िविनयम, 1995, स.ं का.आ. 939(अ), (cid:26)ारा ख) 5 जनवरी, 1998 को भारतीय (cid:16)ितभिू त और िविनमय बोड (cid:8) (िनगम(cid:8) न ब&ककार) (संशोधन) िविनयम, 1998, स.ं का.आ. 15 (अ), (cid:26)ारा ग) 30 िसत(cid:3)बर, 1999 को भारतीय (cid:16)ितभूित और िविनमय बोड (cid:8) (िनगम(cid:8) न ब&ककार) (संशोधन) िविनयम, 1999, स.ं का.आ. 800 (अ), (cid:26)ारा घ) 28 माच (cid:8) 2000 को भारतीय (cid:16)ितभिू त और िविनमय बोड (cid:8) ((cid:16)ितभिू त अपीलीय Cयायािधकरण को अपील) (संशोधन) िविनयम, 2000, सं. का.आ. 278 (अ), (cid:26)ारा ङ) 29 मई, 2001 को भारतीय (cid:16)ितभिू त और िविनमय बोड (cid:8) (म;यवEतय(cid:31) (cid:26)ारा िविनधान सलाह) (संशोधन) िविनयम, 2001, सं. का.आ. 476(अ), (cid:26)ारा च) 27 िसत(cid:3)बर, 2002 को भारतीय (cid:16)ितभिू त और िविनमय बोड (cid:8) (जांच अिधकारी (cid:26)ारा जांच करन ेऔर शाि9त अिधरोिपत करन ेके िलए (cid:16)FGया) िविनयम, 2002, स.ं का.आ. 1045(अ), (cid:26)ारा छ) 1 अ(cid:30)ूबर, 2003 को भारतीय (cid:16)ितभूित और िविनमय बोड (cid:8) (िनगम(cid:8) न ब&ककार) (संशोधन) िविनयम, 2003, स.ं का.आ. 1159 (अ), (cid:26)ारा ज) 10 माच,(cid:8) 2004 को भारतीय (cid:16)ितभिू त और िविनमय बोड (cid:8) (उपयु(cid:30) तथा उिचत Hि(cid:30) के िलए मानदडं ) िविनयम, 2004, का.आ. स.ं 398(अ), (cid:26)ारा झ) 7 िसत(cid:3)बर, 2006 को भारतीय (cid:16)ितभूित और िविनमय बोड (cid:8)(िनग(cid:8)मन ब&ककार) (संशोधन) िविनयम, 2006, का.आ. स.ं 1449 (अ), (cid:26)ारा ञ) 26 मई, 2008 को भारतीय (cid:16)ितभिू त और िविनमय बोड (cid:8) (म;यवतI) िविनयम, 2008, अिधसूचना स.ं एलएडी/एनआरओ/जीएन/2008/11/126538, (cid:26)ारा ट) 19 अ(cid:16)ैल, 2011 को भारतीय (cid:16)ितभिू त और िविनमय बोड (cid:8) [कुछ म;यवEतय(cid:31) (इंटरमीिडयरीज़) के रिज9Jीकरण क(cid:25) शतK म 3 पLरवत(cid:8)न] (संशोधन) िविनयम, 2011, अिधसूचना स.ं एलएडी/एनआरओ/ जीएन/2011-12/03/12650, (cid:26)ारा ठ) 5 जुलाई, 2011 को भारतीय (cid:16)ितभूित और िविनमय बोड (cid:8) (िनग(cid:8)मन ब&ककार) (संशोधन) िविनयम, 2011, अिधसूचना सं. एल.ए.डी.-ए.आर.ओ./जी.एन./2011-12/12/21225, (cid:26)ारा ड) 6 माच,(cid:8) 2017 को भारतीय (cid:16)ितभिू त और िविनमय बोड (cid:8) (फ(cid:25)स का भुगतान और भुगतान का मा;यम) (संशोधन) िविनयम, 2017, अिधसूचना स.ं सेबी/एल.ए.डी.-एन.आर.ओ./जी.एन./2016-17/037 [तारीख 29 माच,(cid:8) 2017 को अिधसूिचत भारतीय (cid:16)ितभिू त और िविनमय बोड (cid:8) (फ(cid:25)स का भुगतान और भुगतान का मा;यम) (संशोधन) िविनयम, 2017, अिधसूचना स.ं सेबी/एल.ए.डी.-एन.आर.ओ./जी.एन./2016-17/038 के साथ पLठत], (cid:26)ारा संशोिधत "ए थे ।¹Hkkx IIIµ[k.M 4º Hkkjr dk jkti=k % vlk/kj.k 3 SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 30th May, 2018 SECURITIES AND EXCHANGE BOARD OF INDIA (BANKERS TO AN ISSUE) (AMENDMENT) REGULATIONS, 2018 No. SEBI/LAD-NRO/GN/2018/16.—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 (Bankers to an Issue) Regulations, 1994, namely,— 1. These regulations may be called the Securities and Exchange Board of India (Bankers to an Issue) (Amendment) Regulations, 2018. 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 (Bankers to an Issue) Regulations, 1994,- i. in regulation 12, in sub-regulation (3), the word “three” shall be substituted with the word “eight”. AJAY TYAGI, CHAIRMAN [ADVT. III/4/Exty./78/18] Footnotes : 1. The principal regulations Securities and Exchange Board of India (Bankers to an Issue) Regulations, 1994 were published in Official Gazette of India on July 14, 1994 vide F.No. SEBI/LE/7/94. 2. The Securities and Exchange Board of India (Bankers to an Issue) Regulations, 1994 was subsequently amended on: a) November 28, 1995 by Securities and Exchange Board of India (Payment of Fees) (Amendment) Regulations, 1995 vide No. S.O. 939(E); b) January 5, 1998 by Securities and Exchange Board of India (Bankers to an Issue) (Amendment) Regulations, 1998 vide No. S.O. 15(E). c) September 30, 1999 by Securities and Exchange Board of India (Bankers to an Issue) (Amendment) Regulations, 1999 vide No. S.O. 800(E). d) March 28, 2000 by Securities and Exchange Board of India (Appeal to Securities Appellate Tribunal) (Amendment) Regulations, 2000 vide No. S.O. 278(E). e) May 29, 2001 by Securities and Exchange Board of India (Investment Advice by Intermediaries) (Amendment) Regulations, 2001 vide No. S.O. 476(E). f) September 27, 2002 by Securities and Exchange Board of India (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002 vide No. S.O. 1045 (E). g) October 1, 2003 by Securities and Exchange Board of India (Bankers to an Issue) (Amendment) Regulations, 2003 vide No. S.O. 1159(E). h) 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). i) September 7, 2006 by the Securities and Exchange Board of India (Bankers to an Issue) (Amendment) Regulations, 2006 vide S.O No.1449(E). j) May 26, 2008 by the Securities and Exchange Board of India (Intermediaries) Regulations, 2008 vide Notification No. LAD/NRO/GN/2008/11/126538. k) April 13, 2011 by the Securities and Exchange Board of India (Change in Conditions of Registration of Certain Intermediaries) (Amendment) Regulations, 2011 vide Notification No. LAD/NRO/GN/ 2011-12/03/12650. l) July 05, 2011 by the Securities and Exchange Board of India (Bankers to an Issue) (Amendment) Regulations, 2011 vide Notification No. LAD-NRO/GN/2011-12/12/21115. m) March 6, 2017 by the Securities and Exchange Board of India (Payment of Fees and Mode of Payment) (Amendment) Regulations, 2017 vide Notification No. LAD-NRO/GN/2016-17/037 read with March 29, 2017 by the Securities and Exchange Board of India (Payment of Fees and Mode of Payment) (Amendment) Regulations, 2017 vide Notification No. LAD-NRO/GN/2016-17/038. 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.

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