In exercise of the powers conferred by section 30 read with clause c of sub section 2 of section 11 of the Securities and Exchange Board of India Act

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- 472] ubZ fnYyh] c`gLifrokj] fnlEcj 6] 2018@vxzgk;.k 15] 1940 No. 472] NEW DELHI, THURSDAY, DECEMBER 6, 2018/AGRAHAYANA 15, 1940 भभभभााााररररततततीीीीयययय (cid:1)(cid:1)(cid:1)(cid:1)ििििततततभभभभििूूििूू तततत औऔऔऔरररर ििििववववििििननननममममयययय बबबबोोोोडडडड (cid:9)(cid:9) (cid:9)(cid:9) अअअअििििधधधधससससचचूूचचूू ननननाााा ममममु(cid:12)ु(cid:12)ु(cid:12)ु(cid:12)बबबबईईईई,,,, 6666 (cid:14)(cid:14)(cid:14)(cid:14)ददददसससस(cid:12)(cid:12)(cid:12)(cid:12)बबबबरररर,,,, 2222000011118888 भभभभााााररररततततीीीीयययय (cid:1)(cid:1)(cid:1)(cid:1)ििििततततभभभभििूूििूू तततत औऔऔऔरररर ििििववववििििननननममममयययय बबबबोोोोडडडड (cid:9)(cid:9) (cid:9)(cid:9) ((((पपपपाााारररर(cid:20)(cid:20)(cid:20)(cid:20)पपपप(cid:21)(cid:21)(cid:21)(cid:21)ररररकककक ििििननननििििधधधध)))) ((((ततततीीीीससससरररराााा ससससशशंंशशंं ोोोोधधधधनननन)))) ििििववववििििननननययययमममम,,,, 2222000011118888 सससस..ंं..ंं ससससबबेेबबेे ीीीी//// एएएएलललल.... एएएए.... डडडडीीीी.... ---- एएएएनननन....आआआआरररर.... ओओओओ....//// जजजजीीीी.... एएएएनननन....//// 2222000011118888//// 55550000....————बोड,(cid:4) भारतीय (cid:5)ितभिू त और िविनमय बोड (cid:4) अिधिनयम, 1992 (1992 का 15) क(cid:11) धारा 11 क(cid:11) उप-धारा (2) के खंड (ग) के साथ प(cid:13)ठत धारा 30 (cid:15)ारा (cid:5)द(cid:19) शि(cid:21)य(cid:23) का (cid:5)योग करते (cid:25)ए एत(cid:27)ारा भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) िविनयम, 1996 का और संशोधन करने के िलए िन(cid:30)िलिखत िविनयम बनाता ह,ै अथा(cid:4)त ् - 1. इन िविनयम(cid:23) को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (तीसरा संशोधन) िविनयम, 2018 कहा जा सकेगा । 2. वे राजप’ म ( उनके (cid:5)काशन क(cid:11) तारीख को (cid:5)वृ(cid:19) ह(cid:23)ग े । 3. भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) िविनयम, 1996 म,( - क. िविनयम 7ख म,( उप-िविनयम (3) के प,ात्, िन(cid:30)िलिखत परंतुक अंत:(cid:28)थािपत -कया जाएगा, अथा(cid:4)त,् - “परंतु यह -क ऐसे -कसी िवलय (मज(cid:4)र), अज(cid:4)न (ए-0िज़शन), इंतजाम क(cid:11) (cid:28)क(cid:11)म ((cid:28)क(cid:11)म ऑफ अर(जम(ट) या -कसी अ3य इंतजाम [िजसम ( पार(cid:28)प(cid:13)रक िनिधय(cid:23) (5यूचुअल फं:स) के (cid:5)ायोजक, आि(cid:28)त 7159 GI/2018 (1)2 THE GAZETTE OF INDIA : EXTRAORDINARY [PART III—SEC. 4] (cid:5)बंध कंपिनय(cid:23) (असेट मैनेजम(ट कंपनीज़) या 3यासी (=(cid:28)टी) कंपिनय(cid:23) के शेयरधारक, उनके सहयोगी (सहयु(cid:21) / असोिसएट) या समूह (>ुप) कंपिनया ँ शािमल ह(cid:23)] क(cid:11) दशा म,( िजनक(cid:11) वजह स े आि(cid:28)त (cid:5)बंध कंपिनय(cid:23) या 3यासी कंपिनय(cid:23) के शेयर(cid:23), मतािधकार(cid:23) का या उनके बोड (cid:4) म ( (cid:5)ितिनिध?व का आनुषंिगक अज(cid:4)न हो जाता हो, इस िविनयम का पालन ऐस े इंतजाम (अर(जम(ट) के लाग ू होने से एक वष (cid:4) क(cid:11) अविध के भीतर -कया जाएगा ।” अजय ?यागी, अAयB [िव(cid:3)ापन-III/4/असा. /394/18] पपपपाााादददद (cid:21)(cid:21)(cid:21)(cid:21)टटटट(cid:24)(cid:24)(cid:24)(cid:24)पपपपणणणण :::: 1. भारतीय (cid:5)ितभिू त और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) िविनयम, 1996, मूल िविनयम, का.आ. स.ं 856(अ), 9 -दस5बर, 1996 को भारत के राजप’ म ( (cid:5)कािशत (cid:25)ए थे । 2. भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) िविनयम, 1996 त?प,ात ्– (1) 15 अ(cid:5)ैल, 1997 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (संशोधन) िविनयम, 1997, का.आ. सं. 327 (अ), (cid:15)ारा (2) 12 जनवरी, 1998 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (संशोधन) िविनयम, 1998, का.आ. सं.32 (अ), (cid:15)ारा (3) 8 -दस5बर, 1999 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (संशोधन) िविनयम, 1999, का.आ. सं.1223 (अ), (cid:15)ारा (4) 14 माच,(cid:4) 2000 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (संशोधन) िविनयम, 2000, का.आ. सं.235 (अ), (cid:15)ारा (5) 28 माच,(cid:4) 2000 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) ((cid:5)ितभूित अपीलीय 3यायािधकरण को अपील) (संशोधन) िविनयम, 2000, का.आ. स.ं 278 (अ), (cid:15)ारा (6) 22 मई, 2000 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (दसू रा संशोधन) िविनयम, 2000, का.आ. सं.484 (अ), (cid:15)ारा (7) 23 जनवरी, 2001 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (संशोधन) िविनयम, 2001, का.आ. सं. 69 (अ), (cid:15)ारा (8) 29 मई, 2001 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (मAयवDत(cid:4)य(cid:23) (cid:15)ारा िविनधान सलाह) (संशोधन) िविनयम, 2001, का.आ. सं. 476 (अ), (cid:15)ारा (9) 23 जुलाई, 2001 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (दसू रा संशोधन) िविनयम, 2001, का.आ. सं. 698 (अ), (cid:15)ारा¹Hkkx IIIµ[k.M 4º Hkkjr dk jkti=k % vlk/kj.k 3 (10) 20 फरवरी, 2002 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (संशोधन) िविनयम, 2002, का.आ. सं. 219 (अ), (cid:15)ारा (11) 11 जून, 2002 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (दसू रा संशोधन) िविनयम, 2002, का.आ. सं. 625 (अ), (cid:15)ारा (12) 30 जुलाई, 2002 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (तीसरा संशोधन) िविनयम, 2002, का.आ. सं. 809 (अ), (cid:15)ारा (13) 9 िसत5बर, 2002 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (चौथा संशोधन) िविनयम, 2002, का.आ. सं.956 (अ), (cid:15)ारा (14) 27 िसत5बर, 2002 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (जांच अिधकारी (cid:15)ारा जांच करन े और शाि(cid:28)त अिधरोिपत करन ेके िलए (cid:5)-Eया) िविनयम, 2002, का.आ. सं.1045 (अ), (cid:15)ारा (15) 29 मई, 2003 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (संशोधन) िविनयम, 2003, का.आ. सं.632 (अ), (cid:15)ारा (16) 12 जनवरी, 2004 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (संशोधन) िविनयम, 2004, फा. सं. भा(cid:5)िवबो/िवकािव/नी(cid:5)/4/2004, (cid:15)ारा (17) 10 माच,(cid:4) 2004 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (उपयु(cid:21) तथा उिचत Gि(cid:21) के िलए मानदडं ) िविनयम, 2004, का.आ. सं. 398 (अ), (cid:15)ारा (18) 12 जनवरी, 2006 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (संशोधन) िविनयम, 2006, का.आ. सं. 38(अ), (cid:15)ारा (19) 22 मई, 2006 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (दसू रा संशोधन) िविनयम, 2006, का.आ. सं. 783(अ), (cid:15)ारा (20) 3 अग(cid:28)त, 2006 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (तीसरा संशोधन) िविनयम, 2006, का.आ. सं. 1254(अ), (cid:15)ारा (21) 27 -दस5बर, 2006 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (चौथा संशोधन) िविनयम, 2006, फा. स.ं भा(cid:5)िवबो/िवकािव/नी(cid:5)/82534/2006, (cid:15)ारा (22) 27 -दस5बर, 2006 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (पाँचवा ँ संशोधन) िविनयम, 2006, फा. स.ं भा(cid:5)िवबो/िवकािव/नी(cid:5)/83065/2006, (cid:15)ारा (23) 28 मई, 2007 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (संशोधन) िविनयम, 2007, फा. सं. 11/एलसी/जीएन/2007/2518, (cid:15)ारा (24) 31 अ(cid:21)ूबर, 2007 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (दसू रा सशं ोधन) िविनयम, 2007, फा. सं. 11/एलसी/जीएन/2007/4646, (cid:15)ारा4 THE GAZETTE OF INDIA : EXTRAORDINARY [PART III—SEC. 4] (25) 31 माच,(cid:4) 2008 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (फ(cid:11)स का संदाय) (संशोधन) िविनयम, 2008, फा.स.ं 11/एलसी/जीएन/2008/21669, (cid:15)ारा (26) 16 अ(cid:5)ैल, 2008 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (संशोधन) िविनयम, 2008, फा. सं.एलएजी-एनआरओ/जीएन/2008/03/123042, (cid:15)ारा (27) 22 मई, 2008 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (दसू रा संशोधन) िविनयम, 2008, स.ं एल.ए.डी.-एन.एन.ओ./जी.एन./2008/09/126202, (cid:15)ारा (28) 29 िसत5बर, 2008 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (तीसरा संशोधन) िविनयम, 2008, सं. एलएडी-एनआरओ/जीएन/2008/24/ 139426, (cid:15)ारा (29) 8 अ(cid:5)ैल, 2009 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (सशं ोधन) िविनयम, 2009, सं. एल.ए.डी.-एन.आर.ओ./जी.एन./2009-10/01/ 159601, (cid:15)ारा (30) 5 जून, 2009 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (दसू रा संशोधन) िविनयम, 2009, स.ं एल.ए.डी.-एन.आर.ओ./जी.एन./2009-10/07/165404, (cid:15)ारा (31) 29 जुलाई, 2010 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (संशोधन) िविनयम, 2010, स.ं एलएडी-एनआरओ/जीएन/2010-11/13/13945, (cid:15)ारा (32) 30 अग(cid:28)त, 2011 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (संशोधन) िविनयम, 2011, फा. सं. एल.ए.डी.-एन.आर.ओ./जी.एन./2011-12/22/27668, (cid:15)ारा (33) 21 फरवरी, 2012 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (संशोधन) िविनयम, 2012, स.ं एलएडी-एनआरओ/जीएन/2011-12/38/4290, (cid:15)ारा (34) 26 िसत5बर, 2012 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (दसू रा संशोधन) िविनयम, 2012, सं. एल.ए.डी.-एन.आर.ओ./जी.एन./2012-13/17/ 21502, (cid:15)ारा (35) 16 अ(cid:5)ैल, 2013 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (संशोधन) िविनयम, 2013, स.ं एल.ए.डी.-एन.आर.ओ./जी.एन./2013-14/03/5652, (cid:15)ारा (36) 19 जून, 2013 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (दसू रा संशोधन) िविनयम, 2013, स.ं एल.ए.डी.-एन.आर.ओ./जी.एन./2013-14/12/6108, (cid:15)ारा (37) 19 अग(cid:28)त, 2013 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (तीसरा सशं ोधन) िविनयम, 2013, स.ं एल.ए.डी.-एन.आर.ओ./जी.एन./2013-14/18/6384, (cid:15)ारा (38) 6 मई, 2014 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (संशोधन) िविनयम, 2014, सं. एलएडी/एनआरओ/जीएन/2014-15/01/1039, (cid:15)ारा (39) 23 मई, 2014 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (फ(cid:11)स का संदाय) (संशोधन) िविनयम, 2014, सं. एल.ए.डी.-एन.आर.ओ./जी.एन./2014-15/03/1089, (cid:15)ारा¹Hkkx IIIµ[k.M 4º Hkkjr dk jkti=k % vlk/kj.k 5 (40) 30 -दस5बर, 2014 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (दसू रा संशोधन) िविनयम, 2014, सं. एलएडी-एन.आर.ओ./जी.एन./2014-15/19/ 1973, (cid:15)ारा (41) 15 मई, 2015 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (संशोधन) िविनयम, 2015, सं. सबे ी-एन.आर.ओ./ओ.आई.ए.इ./जी.एन./2015-16/005, (cid:15)ारा (42) 12 फरवरी, 2016 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (संशोधन) िविनयम, 2016, स.ं सबे ी/एल.ए.डी.एन.आर.ओ./जी.एन./2015-16/034, (cid:15)ारा (43) 15 फरवरी, 2017 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (संशोधन) िविनयम, 2017, स.ं सबे ी/एल.ए.डी.-एन.आर.ओ./जी.एन./2016-17/031, (cid:15)ारा (44) 13 माच,(cid:4) 2018 को भारतीय (cid:5)ितभूित और िविनमय बोड (cid:4) (पार(cid:28)प(cid:13)रक िनिध) (संशोधन) िविनयम, 2018, स.ं सबे ी/एल.ए.डी.-एन.आर.ओ./जी.एन./2018/02, (cid:15)ारा (45) 30 मई, 2018 को भारतीय (cid:5)ितभूित और िविनमय बोड(cid:4) (पार(cid:28)प(cid:13)रक िनिध) (दसू रा संशोधन) िविनयम, 2018, सं. सबे ी/एल.ए.डी.-एन.आर.ओ./जी.एन./2018/14, (cid:15)ारा संशोिधत (cid:25)ए थे । SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION Mumbai, the 6th December, 2018 Securities and Exchange Board of India (Mutual Funds) (Third Amendment) Regulations, 2018 No. SEBI/LAD-NRO/GN/2018/50.—In exercise of the powers conferred by section 30 read with clause (c) of sub-section (2) of section 11 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) (Third 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 (Mutual Funds) Regulations, 1996, - a. in regulation 7B, after sub-regulation (3), the following proviso shall be inserted, namely, - “Provided that in the event of a merger, acquisition, scheme of arrangement or any other arrangement involving the sponsors of the mutual funds, share holders of the asset management companies or trustee companies, their associates or group6 THE GAZETTE OF INDIA : EXTRAORDINARY [PART III—SEC. 4] companies which results in the incidental acquisition of shares, voting rights or representation on the board of the asset management companies or trustee companies, this regulation shall be complied with within a period of one year of coming into force of such an arrangement.” AJAY TYAGI, Chairman [ADVT.-III/4/Exty./394/18] 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) 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).¹Hkkx IIIµ[k.M 4º Hkkjr dk jkti=k % vlk/kj.k 7 (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. (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/2014-15/03/1089.8 THE GAZETTE OF INDIA : EXTRAORDINARY [PART III—SEC. 4] (40) on 30th December, 2014 by the Securities and Exchange Board of India (Mutual Funds) (Second Amendment) Regulations, 2014 vide 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. NROOIAE/GN/2015-16/005. (42) on 12th February, 2016 by the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 2016 vide No. SEBI/LAD-NRO/GN/2015-16/034. (43) on 15th February, 2017 by the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 2017 vide No. SEBI/LAD/NRO/GN/2016-17/031. (44) on 13th March, 2018 by the Securities and Exchange Board of India (Mutual Funds) (Amendment) Regulations, 2018 vide No. SEBI/LAD-NRO/GN/2018/02. (45) on 30th May, 2018 by the Securities and Exchange Board of India (Mutual Funds) (Second Amendment) Regulations, 2018 vide No. SEBI/LAD-NRO/GN/2018/14. 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.