Guides
A growing collection of how-to guides and reference notes.
- Sebi E Mandate Framework
Stub article on Sebi E Mandate Framework. A full encyclopedic entry is pending.
- 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 January 2000 to August 2009, its replacement by the SEBI (ICDR) Regulations 2009 and then 2018, the structure of eligibility, promoter contribution, disclosure, and pricing rules, and the historical significance of the DIP Guidelines in shaping the modern Indian primary market. Covers key amendments, notable cases, and the rationale for the transition to regulation-based framework.
- Sebi Custodian Framework
Stub article on Sebi Custodian Framework. A full encyclopedic entry is pending.
- Sebi B30 T30
Stub article on Sebi B30 T30. A full encyclopedic entry is pending.
- SEBI (Stock Exchanges and Clearing Corporations) Regulations 2018
Stub article on SEBI (Stock Exchanges and Clearing Corporations) Regulations 2018. A full encyclopedic entry is pending.
- SEBI (Stock Brokers and Sub-Brokers) Regulations 1992
Stub article on SEBI (Stock Brokers and Sub-Brokers) Regulations 1992. A full encyclopedic entry is pending.
- SEBI (Research Analysts) Regulations 2014
Stub article on SEBI (Research Analysts) Regulations 2014. A full encyclopedic entry is pending.
- SEBI (Prohibition of Insider Trading) Regulations 2015
Stub article on SEBI (Prohibition of Insider Trading) Regulations 2015. A full encyclopedic entry is pending.
- SEBI (Prohibition of Fraudulent and Unfair Trade Practices) Regulations 2003
Stub article on SEBI (Prohibition of Fraudulent and Unfair Trade Practices) Regulations 2003. A full encyclopedic entry is pending.
- SEBI (Portfolio Managers) Regulations 2020
Stub article on SEBI (Portfolio Managers) Regulations 2020. A full encyclopedic entry is pending.
- 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 three-tier sponsor-trustee-AMC structure, scheme launches, investment restrictions, expense ratios, valuation, disclosure, and termination rules. Covers the major amendment cycle from 1996 through 2024, the October 2017 scheme categorisation circular, the April 2023 debt-fund taxation reforms, and the SEBI Master Circular consolidation. Reference for every Indian mutual fund participant from AMC governance to retail investor protection.
- SEBI (Merchant Bankers) Regulations 1992
Stub article on SEBI (Merchant Bankers) Regulations 1992. A full encyclopedic entry is pending.
- SEBI (LODR) Regulations 2015
Comprehensive guide to the SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015: the consolidated framework for continuing obligations of listed entities in India, covering periodic financial disclosures, material event reporting, corporate governance norms, the role of independent directors and audit committees, related-party transactions, insider-trading restrictions, minimum public shareholding compliance, and the disclosure requirements for promoters and key managerial personnel. Updated for 2024 amendments.
- SEBI (Investment Advisers) Regulations 2013
Stub article on SEBI (Investment Advisers) Regulations 2013. A full encyclopedic entry is pending.
- SEBI (Delisting of Equity Shares) Regulations 2021
Stub article on SEBI (Delisting of Equity Shares) Regulations 2021. A full encyclopedic entry is pending.
- SEBI (Alternative Investment Funds) Regulations 2012
Stub article on SEBI (Alternative Investment Funds) Regulations 2012. A full encyclopedic entry is pending.
- SCORES portal for mutual fund complaints
SEBI SCORES (SEBI Complaints Redress System) is the official online portal for investors to file complaints against mutual fund AMCs, distributors, RTAs and other intermediaries. Covers the SCORES filing process, the resolution timeline, the comparison with AMFI grievance matrix, the escalation paths, and the recent SMART ODR introduction for arbitration.
- SCORES Mutual Fund Complaints
Stub article on SCORES Mutual Fund Complaints. A full encyclopedic entry is pending.
- Samco Mutual Fund
Samco Mutual Fund is an Indian asset management company sponsored by Samco Securities, with the AMC launching in 2022 following the SEBI approval of a new entrant. Covers the broker-aligned positioning with parent Samco Securities, the founder Jimeet Modi's stockbroking background, the scheme range with emphasis on equity-oriented active-investing strategies, the proprietary CARE Matrix framework, and the position within the small but growing newer-entrant AMC cohort in the Indian mutual fund industry.
- RuPay
Stub article on RuPay. A full encyclopedic entry is pending.
- Robinhood
Stub article on Robinhood. A full encyclopedic entry is pending.
- Rights issue
Comprehensive guide to rights issues in India: the SEBI (ICDR) Regulations 2018 Chapter III framework, the offer to existing shareholders in proportion to their current holding, the discounted pricing relative to market, the renounciation mechanism allowing existing shareholders to renounce rights to third parties, the subscription window of 15-30 days, the comparison with FPO and QIP, and the major Indian examples including Reliance Industries Rs 53,124 crore rights issue of 2020 and Bharti Airtel Rs 25,000 crore rights issue of 2019. Covers the retail subscription mechanics and the post-rights-issue trading.
- RIA vs Mutual Fund Distributor
Registered Investment Advisers (RIAs) and Mutual Fund Distributors operate under distinct regulatory frameworks and compensation models. RIAs charge investors directly on a fee-only basis while distributors earn commission embedded in regular-plan TER. Covers the structural differences, the conflict-of-interest implications, and the choice criteria.
- Retirement mutual fund in India
Retirement mutual funds in India are solution-oriented mutual fund schemes designed for long-term retirement corpus building, with a five-year lock-in or until retirement (whichever is earlier). Covers the SEBI solution-oriented categorisation, the major retirement fund schemes, the conservative-to-aggressive variants, the comparison with NPS and EPF, and the role in retirement planning.
- 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 the Companies Act 2013, the regional RoC structure across 22 jurisdictions, the role in company incorporation, post-incorporation annual filings, charge registration, board and shareholder resolution registrations, the MCA21 e-filing platform, the strike-off and revival procedures under Sections 248-252, and the interaction with SEBI for listed companies. Covers what every promoter, director and compliance officer needs to know about RoC interactions.
- Registrar and Transfer Agent (RTA) in mutual funds
The Registrar and Transfer Agent (RTA) is the SEBI-registered intermediary that maintains the unitholder-level records for mutual fund schemes. Covers the RTA role in folio recordkeeping, the two principal Indian RTAs CAMS and KFin Technologies, the operational mechanics including investor-services portals, and the regulatory framework.
- Registered Investment Adviser (RIA) for mutual funds
A Registered Investment Adviser (RIA) is a SEBI-licensed fee-only investment adviser providing professional financial advice including mutual fund recommendations. Covers the SEBI RIA framework, the fee-only model, the comparison with mutual fund distributors, the registration requirements, the typical fee structures, and the suitability for different investor profiles.
- Real-Time Gross Settlement (RTGS)
Stub article on Real-Time Gross Settlement (RTGS). A full encyclopedic entry is pending.
- Rbi Reserve Bank India
Stub article on Rbi Reserve Bank India. A full encyclopedic entry is pending.
- Rbi Reference Rate
Stub article on Rbi Reference Rate. A full encyclopedic entry is pending.