Articles in “Regulation” category
229 articles.
2026 (229)
- Designated-person trading block on Zerodha (SEBI PIT trading window)
Why Zerodha blocks trades for a designated person of a listed company: the SEBI PIT trading-window closure, the PAN freeze, contra-trade rule and pre-clearance.
- Electricity futures on MCX
MCX electricity futures (monthly base load), launched 10 July 2025: design, the SEBI-CERC jurisdiction split, who hedges, cash settlement and Zerodha …
- India VIX
India VIX is NSE's volatility index from the Nifty option order book: a 30-day annualised expected-volatility figure. How to read it and why retail cannot trade …
- MCX agri and pepper trading restrictions
Why agri commodities face tighter rules on MCX and NCDEX: the SEBI suspension of seven agri derivatives from December 2021, position limits, and food-inflation …
- Social Stock Exchange on Zerodha
The Social Stock Exchange on NSE and BSE: Zero Coupon Zero Principal instruments, who can list and invest, the minimum application, and applying through Zerodha …
- The phaseout of Bank Nifty weekly options
Bank Nifty weekly options were discontinued from 20 November 2024 under the SEBI one-weekly-per-exchange rule. Monthly options and futures remain, expiring last …
- The role of registrars and transfer agents in the IPO process
A registrar to an issue fixes the basis of allotment, processes applications, runs the refund and unblock cycle, and publishes the allotment status. The …
- CKYC number explained: the 14-digit CKYC Identifier
The CKYC number is the 14-digit KYC Identification Number that CERSAI issues once your KYC is filed with the Central KYC Records Registry. Here is where to find …
- Clients of Special Category (CSC)
Clients of Special Category (CSC) are higher-risk client types under PMLA, including PEPs, NGOs, trusts and HNIs, who must submit income proof at Zerodha.
- Does Zerodha solicit fund transfers to personal accounts?
Zerodha never solicits fund transfers to a personal or third-party account. Client money moves only from your registered bank or UPI to the regulated broker …
- FATF lists and your Zerodha account
The FATF black and grey lists decide whether an NRI or foreign national can open a Zerodha account. Black-list residents are barred; grey-list residents need …
- How to add an employer's email to a Zerodha account
Add an employer's email to a Zerodha account by raising a ticket with a request letter on the employer's letterhead, with the authorised seal and signature. …
- How to avoid entering CDSL TPIN and OTP every time you sell on Zerodha
Activate DDPI to stop entering a CDSL TPIN and OTP on every sell at Zerodha. The eDIS authorisation runs per sell; DDPI authorises the debit automatically once.
- How to check whether POA or DDPI is active on Zerodha
Check whether a POA or DDPI is active on your Zerodha account from the Kite profile and the holdings authorisation behaviour. Where the indicator sits and what …
- How to check your KYC status for a Zerodha account
Check your KYC status for a Zerodha account by PAN on the KRA portals (CVL, NDML, CAMS, KFin, DotEx) and learn what validated, registered, on hold and rejected …
- How to file an investor grievance against Zerodha
File a grievance against Zerodha along the SEBI ladder: a support ticket, the Compliance Officer, the exchange, SEBI SCORES with its 21-day timeline, then SMART …
- How to respond when Zerodha emails asking for clarity on your trades
Zerodha sends a trade-clarity email when an exchange surveillance alert flags your trades. Reply truthfully within 3 working days or risk an account freeze.
- How to revoke a POA or DDPI mapped to your Zerodha account
Revoke a POA or DDPI mapped to Zerodha using the Revocation of POA-DDPI form, e-signed via a ticket or couriered offline. Processing takes up to 5 working days; …
- How to sell holdings without POA or DDPI on Zerodha
Without a POA or DDPI you sell Zerodha holdings through CDSL eDIS: authorise the debit with your CDSL TPIN and OTP on each sell. Step-by-step flow, limits and …
- How to update KYC using DigiLocker for Zerodha re-KYC
Refresh your Aadhaar in DigiLocker so the address and document Zerodha fetches during re-KYC are current. What DigiLocker can update and what it cannot.
- The clearing corporation fund-allocation email explained
The email or SMS from NSE Clearing or ICCL reports how your broker has allocated your funds segment-wise at the clearing corporation, a SEBI safeguard. Here is …
- The KRA KYC validation email and SMS explained
The email or SMS from CVL, CAMS or KFin KRA reports your KYC status: validated, registered, under validation, or on hold. Here is what each status means and …
- The weekly statement of funds and securities from the exchange
NSE, BSE and MCX email you a weekly statement of funds and securities so you can cross-check your broker. Here is how to read it and why it comes from the …
- Why Kite shows the risk disclosure at every login
Kite shows the SEBI risk disclosure (9 out of 10 individual F&O traders lose money) at every login because a 2023 SEBI circular mandates it after a study found …
- Why Zerodha discontinued the demat POA and moved to DDPI
SEBI discontinued the broker demat POA for new clients and replaced it with the DDPI from 2022. The timeline, the Karvy trigger, the SEBI and CDSL circulars, …
- Zerodha CKYC and re-KYC: how the statuses work
How CKYC and re-KYC work for a Zerodha account: CKYC versus KRA KYC, when re-KYC triggers, and what the validated, registered and on-hold statuses mean for …
- Zerodha cyber-security and the SEBI CSCRF framework for brokers
Zerodha's cyber-security posture and the SEBI Cyber Security and Cyber Resilience Framework (CSCRF) that binds stock brokers: the obligations, the protections, …
- Zerodha data deletion request: what can and cannot be erased
Zerodha cannot permanently delete client records on request; SEBI requires brokers to keep client documents for at least 8 years. DPDP erasure yields to that …
- Zerodha email: multiple accounts share the same mobile or email
Zerodha emails you when one mobile number or email ID is linked to several trading accounts. SEBI requires unique contact details. Here is why, and how to fix …
- Zerodha IEPF FAQs: unclaimed shares and dividends
Shares and dividends unclaimed for seven years transfer to the IEPF under the Companies Act 2013; for Zerodha clients this is at the company level, claimed via …
- Zerodha IP address shared alert
Zerodha sends an IP-shared alert when multiple accounts log in from the same device or network, under an NSE compliance rule. Here is what it means and what to …
- Zerodha official social media handles and how to spot fakes
Zerodha's verified social media handles and domains, the table of official accounts on X, Instagram, YouTube and more, and how to spot impostor handles using …
- Zerodha policies and procedures: the mandatory broker policy
Zerodha's policies and procedures is the SEBI-mandated broker policy document covering RMS, inactive accounts, brokerage, penny stocks, margin shortfall and …
- Zerodha regtech and data privacy: who processes your KYC data
Opening a Zerodha account routes your data through KRAs, CKYC, CDSL, CAMS, KFintech, Digio e-sign and penny-drop. What each holds, the legal basis, and your …
- Zerodha reversal trades clarification email
Zerodha emails for clarification on reversal trades when exchange surveillance flags buy-and-sell trades that cancel out. Here is what it means and how to …
- Zerodha trade SMS and email alerts from the exchanges
The SMS and email you get after every Zerodha trade come from NSE, BSE and MCX, not the broker, under a SEBI investor-protection mandate. Here is what they …
- Zerodha weekly statement email
Zerodha emails a weekly statement of funds and securities to every client, an exchange-mandated record of ledger balances, holdings and pending settlement …
- Client Master Report (CMR / CML)
A Client Master Report (CMR), also called a Client Master List (CML), is a one-page document a depository participant issues that summarises a demat account's …
- Electronic Contract Note (ECN)
An electronic contract note is the digitally signed legal record of a trade that a stockbroker delivers by email under the SEBI framework. Covers the contract …
- How to claim unclaimed dividend from the IEPF
Step-by-step procedure to claim unclaimed dividends and the underlying shares transferred to the Investor Education and Protection Fund (IEPF) using Form IEPF-5 …
- IRDAI (Insurance Regulatory and Development Authority of India)
IRDAI is the statutory regulator of India's insurance sector, established under the IRDA Act 1999, with its head office in Hyderabad, regulating insurers.
- Most Important Terms and Conditions (MITC)
The Most Important Terms and Conditions is a SEBI mandated, standardised summary of the key terms between a stockbroker and client. Covers the SEBI circular …
- Risk Disclosure Document (RDD)
The Risk Disclosure Document is a SEBI and exchange mandated disclosure a stockbroker gives every client at account opening, setting out the risks of trading in …
- STT hike on F&O October 2024
Effective October 2024, SEBI increased Securities Transaction Tax (STT) on F&O contracts. Explains the new rates, the rationale, and the impact on retail F&O …
- STT hike on F&O (October 2024)
Effective 1 October 2024, the Securities Transaction Tax on options selling was raised from 0.0625 per cent to 0.1 per cent on premium and on futures selling …
- Association of Mutual Funds in India (AMFI)
AMFI is the industry body and self-regulatory organisation for mutual funds in India, established in 1995 to develop the industry, enforce codes of conduct, and …
- Demat account
A demat account holds securities in electronic form in India. Learn its history, structure, depositories, eligibility, fees, and recent reforms.
- Reserve Bank of India (RBI)
The Reserve Bank of India is India's central bank, established in 1935 under the RBI Act 1934, responsible for monetary policy, banking supervision, and.
- Securities and Exchange Board of India (SEBI)
SEBI is India's statutory capital market regulator, established in 1992 under the SEBI Act to protect investors and develop the securities market.
- Zerodha investor charter
Zerodha's SEBI-mandated investor charter sets out client rights, Zerodha's obligations, and the grievance path. What it covers and how to use it in a complaint.
- ASM (Additional Surveillance Measure) on Zerodha
ASM (Additional Surveillance Measure) explained for Zerodha clients. Covers the framework, restrictions, and effect on trading. Cross-references the detailed …
- ASM and GSM frameworks explained
SEBI's Additional Surveillance Measure (ASM) and Graded Surveillance Measure (GSM) frameworks restrict trading on scrips showing unusual price or volume …
- ASM stages 1 to 4 explained
The 4 stages of Long-term ASM and the escalating restrictions at each. Cross-references the detailed long-term ASM article.
- CDSL block mechanism for pay-in
The CDSL block mechanism allows shares to be locked in the depository for settlement pay-in without transfer to the broker's pool account. Explains the …
- CDSL TPIN regime (eDIS)
The CDSL TPIN (Transaction PIN) framework, known as eDIS (electronic Delivery Instruction Slip), authorises sell orders without a physical DIS. Explains the …
- Circuit filters on NSE and BSE
Circuit filters (price bands) on NSE and BSE limit daily price movement for individual scrips and indices. Explains the 2%, 5%, 10%, 20% bands, the index …
- Direct payout to demat SEBI rule
SEBI's October 2024 direct-payout-to-demat rule routes equity sale proceeds and share credits directly to the client's demat account, bypassing the broker's …
- Finfluencer SEBI ban, impact on Zerodha referrals
SEBI's 2024 framework banning unregistered finfluencers from providing investment advice or earning broker referrals. Explains the rules, the impact on …
- GSM (Graded Surveillance Measure) on Zerodha
GSM (Graded Surveillance Measure) explained for Zerodha clients. Differs from ASM in focusing on fundamental quality concerns rather than price-volume patterns.
- GSM stage 2+ restrictions
Specific restrictions on scrips at GSM stage 2 and above on NSE / BSE. Covers margin, settlement, and trading limitations.
- Illiquid stocks SEBI rules
SEBI's rules for trading illiquid stocks: periodic call auction, T2T settlement, higher margin. Explains the framework and trader implications.
- Instant settlement T+0 stocks list
The list of stocks eligible for T+0 (same-day) settlement on Indian exchanges, expanded from the initial 25-scrip pilot to a broader universe in 2025-26. …
- Investor Protection Fund (IPF) explained
The Investor Protection Fund (IPF) framework in India: how it works, who contributes, what it covers, and the claim process. Maintained by NSE, BSE, and MCX per …
- Long-term ASM Stage 1 to 4
Long-term ASM has 4 escalating stages with increasing trading restrictions. Explains each stage's triggers, restrictions, and the typical timeline for moving …
- Lot size revision F&O 2024
SEBI revised F&O lot sizes upward in 2024 to raise the minimum contract size and discourage small-ticket speculative trades. Explains the new sizes for major …
- Margin trading SEBI new rules 2026
SEBI's 2026 framework for Margin Trading Funding (MTF) tightens client eligibility, increases broker capital requirements, and overhauls the pledge mechanics. …
- Periodic Call Auction stocks
Periodic Call Auction (PCA) is a discrete-interval matching mechanism for thinly traded or heavily surveilled stocks. Explains the matching schedule, the …
- SEBI broker risk disclosure norms
SEBI's broker risk disclosure norms require brokers to provide clients with specific risk disclosures for derivatives and high-leverage products. Explains the …
- SEBI F&O entry barrier rules 2024
SEBI's 2024 F&O entry barrier rules introduce income, experience, and suitability requirements for retail derivatives participation. Explains the framework, the …
- SEBI peak margin rules explained
SEBI's peak margin rules require brokers to collect the highest of four intraday margin snapshots, ending the unlimited intraday leverage era. Explains the …
- SEBI RA vs IA distinction
Research Analyst (RA) and Investment Adviser (IA) are SEBI-registered professional categories with different regulatory scope. Explains the distinction, what …
- SEBI study: 90% of retail F&O traders lose money
SEBI's 2022 and 2024 studies found that approximately 90% of retail F&O traders incur losses. Explains the methodology, the headline findings, and the policy …
- Settlement cycle changes 2025-26
Indian equity settlement cycle changes in 2025-26: T+0 segment expansion, F&O settlement enhancements, and the broader push toward shorter settlement windows. …
- Short-term ASM
Short-term ASM (ST-ASM) triggers on acute single-day or short-window price moves, imposing tighter price bands and 100% upfront margin for a short observation …
- Surveillance measures and trading risks
A summary of SEBI / exchange surveillance measures (ASM, GSM, T2T, PCA, circuit) and the trading risks each creates.
- The 50:50 cash collateral rule explained
SEBI's 50:50 cash collateral rule requires that at least 50% of F&O margin be in cash or cash-equivalent, with the remaining up to 50% in pledged equity …
- Trade-to-Trade segment rules
The Trade-to-Trade (T2T) segment requires every trade to result in delivery. Explains the T2T rules, the scrips covered, and how it differs from normal rolling …
- Upfront margin requirements (post-2020)
SEBI's upfront margin requirements, in force since September 2020, mandate that brokers collect the full required margin from the client before order placement. …
- SEBI True-to-Label charges October 2024
SEBI's True-to-Label charges framework (effective October 2024) requires exchanges and brokers to disclose each charge component transparently, eliminating …
- 75% rule for unitholder approval
The 75% rule is the SEBI-mandated unitholder approval threshold for material changes to mutual fund schemes, such as scheme mergers, conversions, fundamental …
- BSDA Lite: Basic Services Demat Account Lite
BSDA Lite (Basic Services Demat Account Lite) is a SEBI-introduced demat account structure for small investors, with reduced or waived annual maintenance …
- CDMDF: Corporate Debt Market Development Fund
The Corporate Debt Market Development Fund (CDMDF) is a SEBI-conceptualised industry-funded backstop facility designed to provide liquidity to corporate debt …
- CKYC (Central KYC) for mutual funds
CKYC (Central KYC) is a centralised KYC repository operated by CERSAI that holds standardised investor records across all SEBI / IRDAI / RBI / PFRDA-regulated …
- DHFL default impact on mutual funds
The 2019 default of Dewan Housing Finance Corporation Limited (DHFL), a major Indian housing finance NBFC, caused significant impact on Indian debt mutual fund …
- ESG disclosure framework for mutual funds
SEBI's ESG disclosure framework for mutual funds (effective phased from 2022-2024) requires AMCs to disclose Environmental, Social, and Governance (ESG) …
- FATCA and CRS in mutual fund onboarding
FATCA (US Foreign Account Tax Compliance Act) and CRS (Common Reporting Standard) require Indian mutual fund AMCs to identify and report on tax-resident foreign …
- FoF tax harmonisation
FoF tax harmonisation refers to the broader process of aligning mutual fund Fund-of-Funds taxation with the underlying scheme treatment, which evolved through …
- FPI as mutual fund investor
Foreign Portfolio Investors (FPIs) are SEBI-registered foreign institutional investors who participate in Indian capital markets including mutual funds. Covers …
- Franklin Templeton April 2020 wind-up
In April 2020, Franklin Templeton Asset Management India announced the wind-up of six debt mutual fund schemes citing inability to meet redemption pressure amid …
- Fund accountant in mutual funds
The fund accountant is the operational role responsible for daily NAV computation, valuation of underlying instruments, and accounting for mutual fund scheme …
- Fund manager limits in mutual funds
SEBI's fund manager limits framework caps the number of schemes a single fund manager can simultaneously manage, ensuring adequate attention per scheme and …
- IL&FS default impact on mutual funds (2018)
The September 2018 default of Infrastructure Leasing & Financial Services (IL&FS), India's then-largest infrastructure NBFC, caused widespread impact on Indian …
- Insider trading rules for mutual funds
SEBI's Prohibition of Insider Trading (PIT) Regulations 2015 apply to mutual funds, restricting AMC employees from trading in MF units based on non-public …
- Investor Charter for mutual funds
The Investor Charter for mutual funds is the SEBI-mandated statement of investor rights, services, and grievance redressal published by every AMC. Covers the …
- Investor education funded from TER
SEBI requires AMCs to allocate a portion of their TER toward investor education initiatives. Covers the framework, the typical allocation (2 basis points of …
- Investor Protection Fund for mutual funds
The Investor Protection Fund framework provides residual compensation to mutual fund unit holders in cases of AMC default, fraud, or operational failure where …
- JPM Amtek incident (2015)
In August 2015, JPMorgan Asset Management India's two debt mutual fund schemes were exposed to a default by Amtek Auto, triggering one of the earliest major …
- Karvy pledge misuse incident (2019)
In November 2019, Karvy Stock Broking was found to have misused client-pledged shares for proprietary trading, triggering one of the largest broker fraud cases …
- KRA (KYC Registration Agency) ecosystem in India
KRAs (KYC Registration Agencies) are SEBI-registered entities that maintain centralised KYC records for Indian financial markets investors, eliminating …
- MF advertising disclosure framework
Indian mutual fund advertising operates under SEBI's MF Advertisement Code with extensive mandatory disclosures including standardised performance presentation, …
- Multi-cap reclassification (2020)
In September 2020, SEBI mandated that multi-cap mutual fund schemes hold at least 25% in each of large-cap, mid-cap, and small-cap segments, restructuring the …
- NAV cut-off reform (February 2021)
In February 2021, SEBI revised the applicable NAV cut-off rule for mutual fund subscriptions, removing the same-day NAV benefit for amounts above Rs 2 lakh in …
- REIT / InvIT exposure cap for mutual funds
SEBI's REIT (Real Estate Investment Trust) and InvIT (Infrastructure Investment Trust) exposure cap for mutual funds limits how much an Indian mutual fund …
- Scheme merger and conversion rules
SEBI's scheme merger and conversion framework governs when and how AMCs can merge two existing schemes or convert a scheme's classification. Covers the …
- Scheme minimum corpus
Scheme minimum corpus is the SEBI-mandated minimum AUM threshold that a mutual fund scheme must reach during the NFO subscription period for the scheme to …
- Scheme reorganisation, merger, and conversion
Scheme reorganisation, merger, and conversion are SEBI-regulated processes by which AMCs can combine schemes, change scheme categorisation, or restructure …
- SEBI Investor Charter for capital markets
The SEBI Investor Charter is a broader investor-rights document published by SEBI covering all SEBI-regulated entities (mutual funds, brokers, AIFs, REITs, …
- SEBI MF Advertisement Code
The SEBI MF Advertisement Code is the mandatory code governing the form, content, and presentation of mutual fund advertisements in India. It prescribes …
- SEBI nomination opt-out rule
SEBI's nomination opt-out rule requires every mutual fund investor to either provide a nominee or explicitly opt out via declaration. Covers the framework …
- Segregated portfolio in mutual funds
A segregated portfolio is the operational vehicle through which SEBI's side-pocketing framework allows AMCs to separate stressed credit assets from the main …
- SID, KIM, SAI: mutual fund scheme documents
SID (Scheme Information Document), KIM (Key Information Memorandum), and SAI (Statement of Additional Information) are the three principal SEBI-mandated …
- Skin-in-the-game rules for mutual funds
SEBI's skin-in-the-game framework requires designated AMC employees (fund managers, senior management) to invest a portion of their salary in the schemes they …
- Smallcase managers vs mutual funds (regulatory contrast)
Smallcase manager-curated portfolios and mutual funds offer thematically-similar exposure but operate under different regulatory frameworks. Covers the SEBI …
- Specialised Investment Funds (SIF)
Specialised Investment Funds (SIF) is a SEBI-introduced mutual fund category (effective 2024-2025) designed for HNI and sophisticated retail investors. Covers …
- Sponsor eligibility for mutual funds
Sponsor eligibility refers to the SEBI-prescribed criteria that an entity must meet to be approved as a mutual fund sponsor in India. Covers the SEBI …
- Sponsor seed capital in mutual funds
Sponsor seed capital is the initial investment made by the AMC sponsor to seed a newly-launched mutual fund scheme. Covers the SEBI requirement, the typical …
- Statutory auditor for mutual funds
The statutory auditor for an Indian mutual fund AMC is an external CA firm appointed to audit the financial records of each scheme annually. Covers the …
- Stress testing framework for mutual funds (2024)
SEBI's 2024 stress testing framework requires mutual fund schemes (particularly small-cap, mid-cap, and credit-risk funds) to conduct periodic liquidity stress …
- Swing pricing in mutual funds
Swing pricing is a SEBI-permitted liquidity-management tool that allows mutual funds to adjust NAV to reflect transaction costs of large redemptions, protecting …
- Trail vs upfront commission in mutual funds
Trail commission is the ongoing annual fee paid by AMCs to distributors based on a percentage of AUM under their distribution, while upfront commission was a …
- Unclaimed redemption and dividend in mutual funds
Unclaimed redemption and dividend proceeds occur when AMCs cannot deliver payouts to investors due to stale bank details, address changes, or investor death …
- Unit-holder rights in Indian mutual funds
Unit-holder rights in Indian mutual funds are SEBI-mandated protections covering disclosure, voting, transmission, and grievance redressal. Covers the …
- Whistleblower mechanisms in mutual funds
Whistleblower mechanisms enable AMC employees, distributors, or others with knowledge of regulatory violations to report concerns to SEBI or trustee companies …
- Yes Bank AT1 writedown impact on mutual funds
In March 2020, the Reserve Bank of India's Yes Bank rescue plan included a complete writedown of Additional Tier-1 (AT1) bonds, causing Rs 8,415 crore in losses …
- Companies Act 2013
Comprehensive guide to the Companies Act 2013: the foundational Indian corporate-law statute replacing the Companies Act 1956, the structure across 29 chapters …
- Director Identification Number (DIN)
Comprehensive guide to the Director Identification Number (DIN) framework in India: the unique 8-digit identifier mandatory for every director of an Indian …
- How SEBI regulates Indian capital markets
Comprehensive guide to the Securities and Exchange Board of India: legal foundation under the SEBI Act 1992, regulatory architecture, the major regulations …
- MCA21 portal
Comprehensive guide to the MCA21 portal: the Ministry of Corporate Affairs e-filing platform for all Indian corporate-law filings, covering company …
- National Company Law Tribunal (NCLT)
Comprehensive guide to the National Company Law Tribunal (NCLT) in India: the specialist company-law and insolvency tribunal constituted under the Companies Act …
- Promoter
Comprehensive guide to the promoter concept in Indian capital markets: SEBI definition under ICDR Regulations 2018, the minimum promoter contribution …
- Registrar of Companies (RoC)
Comprehensive guide to the Registrar of Companies (RoC) in India: the statutory office under the Ministry of Corporate Affairs operating under Section 396 of …
- SEBI (LODR) Regulations 2015
Comprehensive guide to the SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015: the consolidated framework for continuing obligations of …
- SEBI (Mutual Funds) Regulations 1996
Comprehensive guide to the SEBI (Mutual Funds) Regulations 1996: the foundational regulatory framework for Indian mutual funds covering AMC registration, the …
- SEBI DIP Guidelines 2000
Comprehensive guide to the SEBI Disclosure and Investor Protection (DIP) Guidelines 2000: the framework that governed Indian public issues for nine years from …
- SEBI F&O entry barrier rules (October 2024 framework)
On 1 October 2024 SEBI announced a six-measure framework tightening retail access to index futures and options. The framework raised minimum contract size, …
- SEBI margin pledge rules (September 2020 framework)
On 1 September 2020 SEBI's new margin pledge framework replaced the long-standing Power of Attorney system for collateralising client securities. Securities now …
- SEBI scheme categorisation circular (October 2017)
Comprehensive guide to the SEBI scheme categorisation and rationalisation circular issued 6 October 2017: the framework that standardised 36 mutual fund …
- Weekly expiry contraction (November 2024)
From 20 November 2024 SEBI restricted weekly options to one expiry per exchange. NSE retained Nifty 50 weeklies while Bank Nifty, Nifty Financial Services, …
- Peak margin penalty (SEBI peak-margin reporting regime)
The peak margin reporting regime introduced by SEBI in November 2020 requires Indian brokers to collect upfront margin matching the highest of four intraday …
- Riskometer framework for Indian mutual funds
Encyclopedic reference on the SEBI riskometer for Indian mutual funds: the 2013 introduction, the 2020 portfolio-based six-level revision, Product Risk Value …
- SEBI Execution-Only Platform framework of 2023
Encyclopedic reference on SEBI's Execution-Only Platform (EOP) framework for direct-plan mutual fund distribution: the July 2023 circular, two-category …
- SEBI Investment Management Department
Encyclopedic reference on SEBI's Investment Management Department: history, organisational structure, regulatory mandate over mutual funds, portfolio managers, …
- SEBI Investor Charter for Mutual Funds
Encyclopedic reference on SEBI's Investor Charter for Mutual Funds: the standardised rights-and-obligations framework mandated by SEBI in August 2021, its …
- SEBI mutual fund stress testing framework of 2024
Encyclopedic reference on SEBI's February 2024 stress testing framework for Indian small-cap and mid-cap mutual funds: portfolio liquidation days disclosure, …
- SEBI NAV applicability rule of 2021
Encyclopedic reference on SEBI's February 2021 NAV applicability rule: the unification of fund-realisation-based NAV applicability across all scheme …
- SEBI scheme rationalisation circular of 2017
Encyclopedic reference on SEBI's October 2017 categorisation and rationalisation circular: the 36-category framework for open-ended mutual fund schemes, …
- Side-pocketing framework for Indian debt mutual funds
Encyclopedic reference on the SEBI side-pocketing framework for Indian debt mutual funds: the December 2018 circular permitting segregated portfolios for …
- Total Expense Ratio of Indian mutual funds
Encyclopedic reference on the Total Expense Ratio (TER) framework for Indian mutual funds under SEBI Regulation 52, including slab structure, components, the …
- Mutual fund trust structure (India)
Three-tier sponsor-trustee-AMC trust structure of Indian mutual funds under the Indian Trusts Act 1882 and SEBI MF Regulations 1996. Roles, safeguards, history.
- AMFI advertisement code
The AMFI advertisement code governs the content, format, and approval requirements for all advertising by mutual fund AMCs and distributors in India, ensuring …
- AMFI Best Practice Guidelines (BPG)
The AMFI Best Practice Guidelines are a comprehensive set of conduct and disclosure standards issued by AMFI to govern the behaviour of asset management …
- AMFI Circular 27 -- biometric KYD discontinuation
AMFI Circular 27 discontinued the mandatory biometric fingerprint requirement for mutual fund distributor KYD in India, replacing it with Aadhaar-based OTP and …
- AMFI Code of Ethics (ACE)
The AMFI Code of Ethics (ACE) sets out the principles-based ethical obligations that govern asset management companies and mutual fund distributors registered …
- AMFI Group Company classification
AMFI's Group Company classification defines the rules under which mutual fund AMCs must identify and disclose investments in group companies of their sponsors, …
- AMFI investor grievance escalation matrix
The AMFI investor grievance escalation matrix defines the hierarchy of complaint redressal channels available to mutual fund investors in India, from AMC-level …
- AMFI Registration Number (ARN)
The AMFI Registration Number (ARN) is a mandatory licence issued by AMFI to mutual fund distributors in India, governed by SEBI regulations and NISM …
- AMFI revamped factsheet (2024)
The 2024 AMFI factsheet revision introduced significant changes to mutual fund monthly factsheet disclosure requirements in India, including enhanced risk …
- AMFI Risk-O-Meter
The AMFI Risk-O-Meter is a standardised six-level risk labelling tool for mutual fund schemes in India, mandated by SEBI to help investors assess and compare …
- AMFI standardised factsheet template
The AMFI standardised factsheet template specifies the mandatory layout, data fields, and disclosure requirements for monthly mutual fund factsheets published …
- AMFI T30 and B30 city categorisation
AMFI's T30/B30 framework divides Indian cities into the top-30 by mutual fund AUM and the next 100 cities, enabling differential distributor incentives and …
- ASBA for Mutual Fund Subscriptions in India
How the Application Supported by Blocked Amount (ASBA) mechanism works for mutual fund subscriptions, its regulatory basis, the ASBA-for-MF pilot, and its role …
- Corporate body MF investor
Comprehensive reference on companies, LLPs, and other corporate bodies investing in Indian mutual funds: SEBI eligibility, board authorisation, KYC …
- Corporate Debt Market Development Fund (CDMDF)
CDMDF is a backstop liquidity facility established by the Government of India in 2023 to provide emergency liquidity to debt mutual funds during periods of …
- Debt mutual fund indexation removal, Finance Act 2023
The Finance Act 2023 (for FY2023-24) removed the indexation benefit and concessional 20 percent long-term capital gains tax rate on debt mutual funds, taxing …
- DHFL default impact on credit-risk funds
The 2019 default by Dewan Housing Finance Corporation caused material NAV write-downs across Indian credit-risk mutual fund schemes, accelerating a …
- Employee Unique Identification Number (EUIN)
The EUIN is a mandatory identifier issued by AMFI to individual employees of mutual fund distributors in India, enabling accountability for specific investment …
- EOP regulations 2023 (Execution-Only Platform framework)
SEBI's 2023 Execution-Only Platform (EOP) framework formally defines and regulates platforms that facilitate direct-plan mutual fund transactions without …
- EPFO equity ETF channel
Reference on the Employees' Provident Fund Organisation's equity investment mandate through index ETFs: legal basis, fund selection, SBI MF and UTI AMC …
- FATCA-restricted US/Canada NRI MF rules
Detailed analysis of why most Indian AMCs refuse mutual fund investments from US and Canada tax-resident NRIs, the FATCA IGA framework, which fund houses accept …
- FPI and mutual fund investing
Reference on Foreign Portfolio Investors (FPIs) registered under SEBI regulations investing in Indian mutual fund schemes: eligibility, investment limits, KYC, …
- Franklin Templeton six-scheme winding-up (April 2020)
In April 2020 Franklin Templeton Mutual Fund abruptly wound up six debt schemes with Rs 25,000 crore AUM, triggering India's largest open-end fund closure and …
- HUF as MF investor
Complete reference on a Hindu Undivided Family (HUF) investing in Indian mutual funds: legal status, Karta's role, KYC documentation, eligible schemes, …
- IL&FS default impact on debt funds (2018)
The September 2018 default by Infrastructure Leasing and Financial Services on commercial paper obligations triggered a system-wide credit freeze for NBFCs and …
- Investor Education from TER: How Mutual Fund Fees Fund Financial Literacy in India
How SEBI mandates a portion of the Total Expense Ratio (TER) collected by Indian mutual funds to be allocated to investor education and awareness initiatives, …
- Joint holders in MF folio
Reference on joint holding in mutual fund folios: eligible combinations, operating modes (anyone/either or survivor), nomination rules, transmission, and …
- JP Morgan India Amtek Auto incident (2015)
In August 2015 JP Morgan Asset Management India suspended redemptions from two debt schemes after Amtek Auto's bond rating collapsed, marking the first gating …
- Karvy Stock Broking pledge-misuse case (2019) and RTA implications
The 2019 Karvy Stock Broking fraud, in which client securities were pledged without authorisation to raise broker funds, exposed gaps in depository oversight …
- Know Your Distributor (KYD)
Know Your Distributor (KYD) is a mandatory due-diligence process administered by AMFI that verifies the identity, qualifications, and integrity of mutual fund …
- MF Lite Framework and Passive-Only AMCs in India
SEBI's MF Lite regulatory framework for passive-only asset management companies, its reduced capital requirements, simplified governance structure, and its role …
- Minor as MF investor
Reference on minors investing in Indian mutual funds through a guardian: SEBI eligibility rules, guardian types, KYC requirements, folio restrictions, SIP …
- Mutual Fund Advertising and SEBI Disclosure Norms in India
How SEBI and AMFI regulate mutual fund advertising in India, including the standard disclosures, riskometer, past performance disclaimers, social media …
- Mutual fund distribution in India
An encyclopedic overview of the mutual fund distribution ecosystem in India, covering intermediary types, regulatory framework, AMFI registration, direct plans, …
- Mutual fund distributor (intermediary role)
A mutual fund distributor (MFD) in India is an AMFI-registered ARN holder who sells regular-plan mutual fund schemes and earns trail commission, governed by …
- NAV cut-off time reform for mutual funds (1 February 2021)
SEBI's reform effective 1 February 2021 changed the NAV allotment rule for all mutual fund schemes to require actual realisation of investor funds before the …
- NISM Series V-A: Mutual Fund Distributors Certification Examination
NISM Series V-A is the mandatory certification examination for mutual fund distributors in India, prescribed by SEBI and administered by the National Institute …
- NISM Series V-B: Mutual Fund Foundation Certification Examination
NISM Series V-B is a foundational-level certification examination for individuals who want basic familiarity with the Indian mutual fund industry, administered …
- NISM Series V-C: Mutual Fund Distributors (Senior) Certification Examination
NISM Series V-C is a higher-level certification for experienced mutual fund distributors in India, required for handling complex products and high-net-worth …
- NPS scheme overlap with MFs
Reference on the structural similarities and practical overlaps between the National Pension System (NPS) and mutual funds in India: asset class comparison, tax …
- NRI MF investor, NRE route
Complete reference on non-resident Indians investing in Indian mutual funds through an NRE (Non-Resident External) bank account: FEMA framework, full …
- NRI MF investor, NRO route
Detailed reference on non-resident Indians investing in Indian mutual funds through an NRO (Non-Resident Ordinary) bank account: FEMA framework, KYC, eligible …
- Partnership / LLP MF investor
Reference on partnership firms and Limited Liability Partnerships (LLPs) investing in Indian mutual funds: eligibility under SEBI regulations, KYC requirements, …
- PIO/OCI MF rules
Reference on Persons of Indian Origin (PIOs) and Overseas Citizens of India (OCIs) investing in Indian mutual funds: FEMA status, KYC, eligibility, repatriation …
- Provident fund and superannuation MF investing
Reference on recognised provident fund trusts and approved superannuation fund trusts investing in Indian mutual fund schemes: legal framework, EPFO/IT Act …
- Resident individual MF investor
Comprehensive guide to the legal framework, KYC requirements, eligible fund segments, taxation, and regulatory obligations of a resident individual investing in …
- RIA (Registered Investment Adviser) for mutual funds in India
A SEBI-registered investment adviser (RIA) provides fee-based mutual fund advice in India under the IA Regulations 2013, operating under a fiduciary standard …
- SEBI (Mutual Funds) Regulations, 1996
Comprehensive encyclopedic reference on SEBI (Mutual Funds) Regulations, 1996: the principal statutory framework governing Indian mutual funds, covering …
- SEBI fund manager qualification and scheme limits (India)
Encyclopedic reference on SEBI's rules for mutual fund manager qualifications, maximum number of schemes a fund manager may manage simultaneously, and the …
- SEBI multi-cap reclassification 2020
Encyclopedic reference on SEBI's November 2020 multi-cap fund reclassification circular: the mandatory 25/25/25 minimum allocation rule, the Flexicap Fund …
- SEBI multi-cap reclassification circular (September 2020)
SEBI's circular of 11 September 2020 mandated that multi-cap mutual fund schemes allocate minimum 25 percent each to large-cap, mid-cap, and small-cap stocks, …
- SEBI Mutual Fund Lite framework (India)
Encyclopedic reference on SEBI's Mutual Fund Lite framework: the simplified registration and operational regime for passive-only AMCs, designed to lower …
- SEBI mutual fund sponsor eligibility rules (India)
Encyclopedic reference on SEBI's sponsor eligibility criteria for Indian mutual funds: the financial soundness test, track record requirement, contribution …
- SEBI scheme merger and conversion rules (India)
Encyclopedic reference on SEBI's framework for mutual fund scheme mergers and conversions in India: regulatory trigger, SEBI approval process, exit window for …
- SEBI Specialised Investment Funds (SIF) framework
Encyclopedic reference on SEBI's Specialised Investment Funds (SIF) framework introduced in 2024: eligibility, minimum investment threshold, permitted …
- SEBI swing pricing framework for debt mutual funds (India)
Encyclopedic reference on SEBI's swing pricing mechanism for Indian debt mutual funds: the anti-dilution framework, full and partial swing triggers, the phased …
- Securities and Exchange Board of India Act, 1992
Indian parliamentary statute that established SEBI as a statutory securities-market regulator. Powers, structure, penalties, SAT appeals, amendments.
- Side-pocketing introduction in Indian mutual funds (2018)
SEBI's circular of 28 December 2018 introduced the segregated portfolio (side-pocketing) mechanism for Indian mutual funds, allowing AMCs to ring-fence …
- Smallcase Managers vs Mutual Fund Managers: Regulatory Contrast
A regulatory comparison of smallcase portfolio managers and SEBI-registered mutual fund AMCs in India, covering registration, disclosure, fee structures, …
- Sole proprietorship MF investor
Reference on sole proprietorship businesses investing in Indian mutual funds: legal status, KYC requirements, distinction from individual investing, taxation, …
- Trust as MF investor
Reference on trusts, public charitable, private, religious, and other, investing in Indian mutual funds: legal basis, trustee authority, KYC documentation, …
- Unclaimed Mutual Fund Redemption and Dividends in India
The regulatory framework, scale, and resolution process for unclaimed redemption proceeds and dividends in Indian mutual funds, including the Investor Education …
- UTI US-64 crisis (2001)
The UTI US-64 crisis of 2001 was India's largest mutual fund collapse, forcing a government bailout, scheme restructuring, and the eventual dissolution of Unit …
- Yes Bank AT1 bond writedown impact on mutual funds
The March 2020 writedown of Yes Bank's Additional Tier 1 bonds to zero under an RBI-supervised resolution caused immediate NAV losses in Indian mutual fund …
- SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018
The SEBI ICDR Regulations 2018 are India's principal law governing public equity issuances, including IPOs, rights issues, and follow-on offerings.
- SEBI ICDR Regulations 2018: summary
A concise summary of the SEBI (ICDR) Regulations 2018, covering IPO eligibility, offer document requirements, pricing, and allotment norms.
- SEBI SCORES
SEBI SCORES is the online complaint management portal for Indian securities market investors, launched in 2011 and upgraded to SCORES 2.0 in 2023.
- SEBI SCORES investor grievance: filing guide
Step-by-step guide to filing and tracking an investor complaint on the SEBI SCORES 2.0 portal, including escalation to SMART ODR.
- Zerodha annual disclosures and risk-o-meter
Explanation of Zerodha's annual disclosure obligations under SEBI regulations, including the risk-o-meter framework, annual reports to clients, and.
- Zerodha as a Qualified Stock Broker (QSB)
Explanation of SEBI's Qualified Stock Broker designation, why Zerodha qualifies, the enhanced obligations it entails, and the implications for clients and...
- Zerodha BSE membership
Details of Zerodha's membership of BSE (Bombay Stock Exchange), including segments covered, regulatory basis, compliance obligations, and client implications.
- Zerodha CDSL DP code (IN-DP-431-2019)
Overview of Zerodha's CDSL depository participant code IN-DP-431-2019, its regulatory basis, client demat services, and obligations under SEBI DP regulations.
- Zerodha clearing arrangement
Explanation of Zerodha's clearing and settlement arrangement across NSE, BSE, MCX, and MSEI, covering clearing members, margin mechanics, and client.
- Zerodha grievance redressal mechanism
Comprehensive guide to Zerodha's investor grievance redressal system, covering internal resolution, SCORES, SMART ODR, exchange arbitration, and legal remedies.
- Zerodha MCX membership
Overview of Zerodha's membership of the Multi Commodity Exchange (MCX), covering commodity derivatives segments, regulatory basis, and client-facing.
- Zerodha MSEI membership
Overview of Zerodha's membership of the Metropolitan Stock Exchange of India (MSEI), covering segments, regulatory basis, and operational context for clients.
- Zerodha NSE membership
Details of Zerodha's membership of the National Stock Exchange, the regulatory basis, trading segments covered, and client-facing implications of NSE.
- Zerodha on SCORES
How Zerodha Broking clients use the SEBI SCORES investor complaint portal, including filing steps, timelines, ATR obligations, and SCORES 2.0 enhancements.
- Zerodha penalties and SEBI orders (historical)
Overview of historical SEBI orders, exchange-level penalties, and regulatory proceedings involving Zerodha Broking, drawn from public SEBI records as of.
- Zerodha SEBI registration (INZ000031633)
Comprehensive guide to Zerodha's SEBI registration INZ000031633, covering broker categories, regulatory obligations, and client protections under SEBI law.
- Zerodha SMART ODR
Guide to SEBI's SMART ODR online dispute resolution platform as it applies to Zerodha clients, covering mediation, arbitration, access steps, and legal.