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SEBI (Change In Conditions of Registration Of Certain Intermediaries) (Amendment) Regulations, 2016

SEBI Notification in the Extraordinary Gazette of India, Part III Section 4, dated 8th December, 2016

No.SEBI/LAD/NRO/GN/2016-17/023.- In exercise of the powers conferred by section 30 of the Securities and Exchange Board of India Act, 1992 (15 of 1992) read with section 25 of the Depositories Act, 1996 (22 of 1996), the Board hereby makes the following Regulations to further amend the Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992, Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993, Securities and Exchange Board of India (Underwriters) Regulations, 1993,Securities and Exchange Board of India (Debenture Trustees) Regulations, 1993,Securities and Exchange Board of India (Portfolio Managers) Regulations, 1993,Securities and Exchange Board of India (Bankers to an Issue) Regulations, 1994,Securities and Exchange Board of India (Depositories and Participants) Regulations, 1996,Securities and Exchange Board of India (Credit Rating Agencies) Regulations, 1999,Securities and Exchange Board of India {KYC (Know Your Client) Registration Agency} Regulations, 2011,Securities and Exchange Board of India (Investment Advisers) Regulations, 2013 and Securities and Exchange Board of India (Research Analysts) Regulations, 2014 namely,-

- These regulations may be called the Securities and Exchange Board of India (Change in Conditions of Registration of Certain Intermediaries) (Amendment) Regulations, 2016.

- They shall come into force on the date of their publication in the Official Gazette i.e. 8th December, 2016.

- The said regulations brings amendments to the following regulations:
  • Amendment to the Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992.
  • Amendment to the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993.
  • Amendment to the Securities and Exchange Board of India (Underwriters) Regulations, 1993.
  • Amendment to the Securities and Exchange Board of India (Debenture Trustees) Regulations, 1993.
  • Amendment to the Securities and Exchange Board of India (Portfolio Managers) Regulations, 1993.
  • Amendment to the Securities and Exchange Board of India (Bankers to an Issue) Regulations, 1994.
  • Amendment to the Securities and Exchange Board of India (Depositories and Participants) Regulations, 1996.
  • Amendment to the Securities and Exchange Board of India (Credit Rating Agencies) Regulations, 1999.
  • Amendment to the Securities and Exchange Board of India {KYC (Know Your Client) Registration Agency} Regulations, 2011.
  • Amendment to the Securities and Exchange Board of India (Investment Advisers) Regulations, 2013.
  • Amendment to the Securities and Exchange Board of India (Research Analysts) Regulations, 2014.


A full text copy of the Securities and Exchange Board of India (Change in Conditions of Registration of Certain Intermediaries) (Amendment) Regulations, 2016 can be downloaded from here - link

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