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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 (SEBI) Registrars to an Issue and Share Transfer Agents Amendment Regulations, 2018. It amends the 1993 regulations related to registrars to an issue and share transfer agents. The regulations were published in the Official Gazette on May 30, 2018, and came into force on the same day. Key Points / Main Content: * **Amendment Regulations Title:** * The regulations are called the Securities and Exchange Board of India Registrars to an Issue and Share Transfer Agents Amendment Regulations, 2018. * **Effective Date:** * The regulations came into force on May 30, 2018. * **Amendments to the 1993 Regulations:** * In regulation 14, subregulation 1, "three" is substituted with "eight." * In regulation 15, "three" is substituted with "eight." Impact Analysis: * **Securities and Exchange Board of India (SEBI):** * Impact: SEBI exercises its powers under Section 30 of the SEBI Act, 1992, to implement and enforce these amended regulations. * Action Required: Ensure compliance with the amended regulations in their oversight of registrars to an issue and share transfer agents. * **Registrars to an Issue and Share Transfer Agents:** * Impact: Changes to regulations 14 and 15, specifically the substitution of "three" with "eight," directly affect their operational requirements and compliance obligations. * Action Required: Review and adhere to the amended regulations, particularly regarding regulations 14 and 15. * **Investors:** * Impact: Indirectly impacted through changes affecting the efficiency and regulation of share transfers and issue registration. * Action Required: No direct action required, but should be aware of the updated regulations to understand their rights and protections better.

Key Entities Referenced

Securities and Exchange Board of India: Regulatory body in India for securities and commodity market. Securities and Exchange Board of India Act, 1992: The Act of the Parliament of India that established the Securities and Exchange Board of India. Securities and Exchange Board of India Registrars to an Issue and Share Transfer Agents Regulations, 1993: Principal regulations amended by this notification. Mumbai, Maharashtra: City in Maharashtra, where the notification was issued. Securities Appellate Tribunal: A statutory tribunal to deal with the appeals against orders passed by SEBI. AJAY TYAGI: Chairman of Securities and Exchange Board of India. Official Gazette of India: Official government publication where regulations are published. New Delhi: City in India, where the document was printed and published.
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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- 203] 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. 203] 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) ररररििििजजजज(cid:21)(cid:21)(cid:21)(cid:21)(cid:22)(cid:22)(cid:22)(cid:22)ाााारररर औऔऔऔरररर शशशशययेेययेे रररर अअअअततततंंंं ररररणणणण अअअअििििभभभभककककतततताााा))(cid:18)(cid:18)))(cid:18)(cid:18) ((((ससससशशशशंंंं ोोोोधधधधनननन)))) ििििववववििििननननययययमममम,,,, 2222000011118888 सससस.ंंंं ससससबबेेबबेे ीीीी//// एएएएलललल....एएएए....डडडडीीीी....----एएएएनननन....आआआआरररर....ओओओओ....////जजजजीीीी....एएएएनननन....////2222000011118888////17.—बोड,(cid:8) भारतीय (cid:14)ितभूित और िविनमय बोड (cid:8) अिधिनयम, 1992 (1992 का 15) क(cid:24) धारा 30 (cid:26)ारा (cid:14)द(cid:28) शि(cid:30)य(cid:31) का (cid:14)योग करते "ए एत$ारा भारतीय (cid:14)ितभिू त और िविनमय बोड (cid:8) (िनग(cid:8)म रिज’(ार और शेयर अतं रण अिभकता(cid:8)) िविनयम, 1993 का और संशोधन करने के िलए िन,िलिखत िविनयम बनाता ह,ै अथा(cid:8)त:्— 1. इन िविनयम(cid:31) को भारतीय (cid:14)ितभिू त और िविनमय बोड (cid:8) (िनग(cid:8)म रिज’(ार और शेयर अतं रण अिभकता)(cid:8) (संशोधन) िविनयम, 2018 कहा जा सकेगा । 2. वे राजप3 म4 उनके (cid:14)काशन क(cid:24) तारीख को (cid:14)वृ(cid:28) ह(cid:31)गे । 3. भारतीय (cid:14)ितभूित और िविनमय बोड (cid:8)(िनग(cid:8)म रिज’(ार और शेयर अंतरण अिभकता(cid:8)) िविनयम, 1993 म,4 i. िविनयम 14 म,4 उप-िविनयम (1) म,4 श:द “तीन” श:द “आठ” से (cid:14)ित’थािपत हो जाएगा । ii. िविनयम 15 म,4 श:द “तीन” श:द “आठ” से (cid:14)ित’थािपत हो जाएगा । अजय <यागी, अ=य> [िव?ापन-III/4/असा./79/18] 3026 GI/2018 (1)2 THE GAZETTE OF INDIA : EXTRAORDINARY [PART III—SEC. 4] पपपपाााादददद (cid:29)(cid:29)(cid:29)(cid:29)टटटट(cid:31)(cid:31)(cid:31)(cid:31)पपपपणणणणःःःः 1. मलू िविनयम भारतीय (cid:14)ितभिू त और िविनमय बोड (cid:8) (िनगम(cid:8) रिज’(ार और शेयर अंतरण अिभकता)(cid:8) िविनयम, 1993, फा.स.ंसेबी/एलई/5/93, 31 मई 1993 को भारत के राजप3 म 4(cid:14)कािशत "ए थे । 2. भारतीय (cid:14)ितभूित और िविनमय बोड (cid:8)(िनग(cid:8)म रिज’(ार और शेयर अंतरण अिभकता)(cid:8) िविनयम, 1993 त<प@ात्ः क. 28 नव(cid:3)बर, 1995 को भारतीय (cid:14)ितभूित और िविनमय बोड(cid:8) (फ(cid:24)स का संदाय) (संशोधन) िविनयम, 1995, स.ं का.आ. 939(अ), (cid:26)ारा ख. 17 िसत(cid:3)बर, 1997 को भारतीय (cid:14)ितभूित और िविनमय बोड (cid:8) (िनगम(cid:8) रिज’(ार और शेयर अंतरण अिभकता)(cid:8) (संशोधन) िविनयम, 1997, सं. का.आ. 660(अ), (cid:26)ारा ग. 5 जनवरी, 1998 को भारतीय (cid:14)ितभिू त और िविनमय बोड (cid:8) (िनगम(cid:8) रिज’(ार और शेयर अंतरण अिभकता)(cid:8) (संशोधन) िविनयम, 1998, सं. का.आ. 14(अ), (cid:26)ारा घ. 30 िसत(cid:3)बर, 1999 को भारतीय (cid:14)ितभूित और िविनमय बोड (cid:8) (िनगम(cid:8) रिज’(ार और शेयर अंतरण अिभकता)(cid:8) (संशोधन) िविनयम, 1999, सं. का.आ. 796(अ), (cid:26)ारा ङ. 17 नव(cid:3)बर, 1999 को भारतीय (cid:14)ितभिू त और िविनमय बोड (cid:8) (िनगम(cid:8) रिज’(ार और शेयर अंतरण अिभकता)(cid:8) (दसू रा संशोधन) िविनयम, 1999, स.ं का.आ. 1120(अ), (cid:26)ारा च. 28 माच (cid:8) 2000 को भारतीय (cid:14)ितभिू त और िविनमय बोड (cid:8) ((cid:14)ितभिू त अपीलीय Dयायािधकरण को अपील) (संशोधन) िविनयम, 2000, सं. का.आ. 278 (अ), (cid:26)ारा छ. 29 मई, 2001 को भारतीय (cid:14)ि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 ज. 27 िसत(cid:3)बर, 2002 को भारतीय (cid:14)ितभिू त और िविनमय बोड(cid:8) (जांच अिधकारी (cid:26)ारा जांच करन े और शाि’त अिधरोिपत करन ेके िलए (cid:14)FGया) िविनयम, 2002, स.ं का.आ. 1045(अ), (cid:26)ारा झ. 1 अ(cid:30)ूबर, 2003 को भारतीय (cid:14)ितभूित और िविनमय बोड (cid:8) (िनग(cid:8)म रिज’(ार और शेयर अंतरण अिभकता)(cid:8) (संशोधन) िविनयम, 2003, सं. का.आ. 1157(अ), (cid:26)ारा ञ. 10 माच,(cid:8) 2004 को भारतीय (cid:14)ि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 ट. 7 िसत(cid:3)बर, 2006 को भारतीय (cid:14)ितभिू त और िविनमय बोड (cid:8) (िनग(cid:8)म रिज’(ार और शेयर अंतरण अिभकता)(cid:8) (संशोधन) िविनयम, 2006, का.आ. स.ं 1452(अ), (cid:26)ारा ठ. 26 मई, 2008 को भारतीय (cid:14)ितभिू त और िविनमय बोड (cid:8) (म=यवतI) िविनयम, 2008, अिधसूचना स.ं एलएडी/एनआरओ/जीएन/2008/11/126538, (cid:26)ारा ड. 26 अग’त, 2009 को भारतीय (cid:14)ितभिू त और िविनमय बोड (cid:8) (पूँजी का िनगम(cid:8) न और (cid:14)कटीकरण अपे>ाए)ँ िविनयम, 2009, अिधसूचना स.ं एलएडी/एनआरओ/जीएन/2009-10/15/174471, (cid:26)ारा ढ. 19 अ(cid:14)ैल, 2011 को भारतीय (cid:14)ितभूित और िविनमय बोड (cid:8) [कुछ म=यवEतय(cid:31) (इंटरमीिडयरीज़) के रिज’(ीकरण क(cid:24) शतM म 4 पNरवतन(cid:8) ] (संशोधन) िविनयम, 2011, अिधसूचना स.ं एलएडी/एनआरओ/जीएन/2011-12/03/12650, (cid:26)ारा¹Hkkx IIIµ[k.M 4º Hkkjr dk jkti=k % vlk/kj.k 3 ण. 5 जुलाई, 2011 को भारतीय (cid:14)ितभिू त और िविनमय बोड (cid:8) (िनग(cid:8)म रिज’(ार और शेयर अंतरण अिभकता)(cid:8) (संशोधन) िविनयम, 2011, अिधसूचना स.ं एल.ए.डी.-एन.आर.ओ./जी.एन./2011-12/11/21228, (cid:26)ारा त. 16 अग’त, 2011 को भारतीय (cid:14)ितभिू त और िविनमय बोड (cid:8) (िनग(cid:8)म रिज’(ार और शेयर अंतरण अिभकता)(cid:8) (दसू रा संशोधन) िविनयम, 2011, अिधसूचना स.ं एलएडी-एनआरओ/जीएन/2011-12/18/26148, (cid:26)ारा थ. 6 माच,(cid:8) 2017 को भारतीय (cid:14)ितभिू त और िविनमय बोड (cid:8) (फ(cid:24)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 अिधसिू चत भारतीय (cid:14)ितभिू त और िविनमय बोड (cid:8) (फ(cid:24)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 पNठत], (cid:26)ारा संशोिधत "ए थे । SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 30th of May, 2018 SECURITIES AND EXCHANGE BOARD OF INDIA (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) (AMENDMENT) REGULATIONS, 2018 No. SEBI/LAD-NRO/GN/2018/17.— 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 (Registrars to an Issue and Share Transfer Agents) Regulations, 1993, namely:— 1. These regulations may be called the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) (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 (Registrars to an Issue and Share Transfer Agents) Regulations, 1993, i. in regulation 14, in sub-regulation 1, the word “three” shall be substituted with the word “eight”. ii. in regulation 15, the word “three” shall be substituted with the word “eight”. AJAY TYAGI, CHAIRMAN [ADVT.-III/4/Exty./79/18] Footnotes: 1. The principal regulations Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993 were published in Official Gazette of India on May 31, 1993 vide F.No.SEBI/LE/5/93. 2. The Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993 were subsequently amended on: a. November 28, 1995 by the Securities and Exchange Board of India (Payment of Fees) (Amendment) Regulations, 1995 vide No. S.O. 939 (E); b. September 17, 1997 by Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) (Amendment) Regulations, 1997 vide No. S.O. 660 (E). c. January 5, 1998 by the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) (Amendment) Regulations, 1998 vide No. S.O. 14 (E). d. September 30, 1999 by the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) (Amendment) Regulations, 1999 vide No. S.O. 796(E). e. November 17, 1999 by Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) (Second Amendment) Regulations, 1999 vide No. S.O. 1120 (E).4 THE GAZETTE OF INDIA : EXTRAORDINARY [PART III—SEC. 4] f. March 28, 2000 by the Securities and Exchange Board of India (Appeal to Securities Appellate Tribunal) (Amendment) Regulations, 2000 vide No. S.O. 278 (E). g. May 29, 2001 by the Securities and Exchange Board of India (Investment Advice by Intermediaries) (Amendment) Regulations, 2001 vide No. S.O. 476 (E). h. September 27, 2002 by the Securities and Exchange Board of India (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002 vide No. S.O. 1045 (E). i. October 1, 2003 by the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) (Amendment) Regulations, 2003 vide No. S.O. 1157 (E). j. 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). k. September 7, 2006 by the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) (Amendment) Regulations, 2006 vide S.O. No. 1452 (E). l. May 26, 2008 by the Securities and Exchange Board of India (Intermediaries) Regulations, 2008 vide Notification No. LAD/NRO/GN/2008/11/126538. m. August 26, 2009 by the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2009 vide Notification No. LAD/NRO/GN/2009-10/15/174471. n. 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. o. July 05, 2011 by the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents)(Amendment) Regulations, 2011 vide Notification No. LAD-NRO/GN/2011-12/11/21228. p. August 16, 2011 by the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents)(Second Amendment) Regulations, 2011 vide Notification No. LAD-NRO/GN/2011- 12/18/26148. q. 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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