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[SEBI] Online Registration Mechanism & Filing System For Stock Exchanges & Depositories

SEBI Circular No. SEBI/HO/MRD/DSA/CIR/P/2018/14 dated 29th January 2018, addressed to all Recognised Stock Exchanges regarding 'Online Registration Mechanism and Filing System for Stock Exchanges', is as under :-

1. In order to ease the process of application for recognition / renewal, reporting and other filings in terms of the Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2012 and other circulars issued from time to time, SEBI has introduced a digital platform for online filings related to Stock Exchanges.

2. All applicants desirous of seeking registration / renewal as a Stock Exchange in terms of Regulation 4 and 12 of the Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2012, shall now submit their applications online, through SEBI Intermediary Portal at https://siportal.sebi.gov.in.


3. The applicants would be required to upload scanned copy of relevant documents such as any declarations, undertakings, etc. as may be specified in Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2012, and keep hard copy of the same to be furnished to SEBI whenever required.

4. Further, all other filings including Annual Financial Statements and Returns, Monthly Development Report, Rules, Bye-laws, etc., shall also be submitted online.

5. The aforesaid online registration and filing system for Stock Exchanges is operational. Recognised Stock Exchanges are advised to note the same for immediate compliance.

6. Link for SEBI Intermediary Portal is also available on SEBI website – www.sebi.gov.in. In case of any queries and clarifications, users may refer to the manual provided in the portal or contact the SEBI Portal helpline on 022-26449364 or may write at portalhelp@sebi.gov.in.

7. This circular is being issued in exercise of powers conferred under Section 11 (1) of the Securities and Exchange Board of India Act, 1992 read with Regulation 50 and 51 of Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2012 to protect the interests of investors in securities and to promote the development of, and to regulate the securities market.


SEBI Circular No. SEBI/HO/MRD/DSA/CIR/P/2018/13 dated 29th January 2018, addressed to all Recognised Depositories regarding 'Online Registration Mechanism and Filing System for Depositories', is as under :-

1. In order to ease the process of application for recognition / renewal, reporting and other filings in terms of Securities and Exchange Board of India(Depositories and Participants) Regulations, 1996 and other circulars issued from time to time, SEBI has introduced a digital platform for online filings related to Depositories.

2. All applicants desirous of seeking registration as a Depository in terms of Regulation 3 of the Securities and Exchange Board of India(Depositories and Participants) Regulations, 1996, shall now submit their applications online, through SEBI Intermediary Portal at https://siportal.sebi.gov.in.

3. The applicants would be required to upload scanned copy of relevant documents such as any declaration or undertaking or not arised copy of documents as may be prescribed in Securities and Exchange Board of India (Depositories and Participants) Regulations 1996, and keep hard copy of the same to be furnished to SEBI whenever required.

4. Further, all other filings including Annual Financial Statements and Returns, Monthly Development Report, Rules, Bye-laws, etc., shall also be submitted online.

5. The aforesaid online registration and filing system for Depositories is operational. Recognised Depositories are advised to note the same for immediate compliance.

6. Link for SEBI Intermediary Portal is also available on SEBI website – www.sebi.gov.in. In case of any queries and clarifications, users may refer to the manual provided in the portal or contact the SEBI Portal helpline on 022- 26449364 or may write at portalhelp@sebi.gov.in.

7. This circular is being issued in exercise of the powers conferred by Section 11 (1) of Securities and Exchange Board of India Act, 1992 read with Regulation 72 and 73 of Securities and Exchange Board of India (Depositories and Participants) Regulations, 1996 to protect the interest of investors in securities and to promote the development of, and to regulate, the securities market.

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