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Tag Archive: REGULATORY PROVISIONS


Last month SEBI bared DLF from tapping capital markets for three years in one of the watchdog’s toughest punishments toblog date.

The order was related to non-disclosures in its 2007 IPO documents. The order was passed against DLF’s six top executives for lapses in disclosures made at time of IPO in 2007.

In the same year on the 30th April 2007 SEBI decided to make grading of all IPOs mandatory. Grading makes additional information available for the investors, in the sense that it is supposedly an objective opinion of a credit rating agency arrived at after analyzing business and financial prospects, management quality and corporate governance practices etc of the issuer. Continue reading

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No doubt that India is in the phase of bull run. The brokers calling you for more investment for securities, Mutual funds, blogdebt, Insurance etc. I know people hate to visit the regulatory websites like SEBI, RBI, IRDA  and make most of their decision based on the brokers advise.

Quick question before proceeding further how many ever read the prospectus before signing the document for investments.? I guess very few of them.

Sharing some bold points issued by SEBI for securities & Mutual funds at least this is minimum information the person should have before investing 🙂

For Securities :  Continue reading

Commodity derivatives markets started in India in 1990s, The National Agriculture Policy, announced by the government in blog2000, advocated the development of futures markets so that consumers and producers of commodities could use these contracts to procure commodities at a more rational price than at the Minimum Support Price (MSP) set by the government, which came with a large cost to the exchequer. This set in place a drive of reforms in these markets, following the reform model that had lead to the development of the Indian equity markets previously.

In 2003 commodity futures contracts started trading on electronic exchanges with a nation-wide reach. Counterparty credit risk, that was a serious problem in the older exchanges, was eliminated using netting by novation at clearing houses similar to their more visible equity derivatives cousins. Total traded Continue reading

The Lehman Method

Although Lehman brothers is no more in existence but it has provided many strategies to the Investment banking space that are blogstill in use and may be used more vibrantly in the markets.

One of them is the most famous Straight Line Pitch – “Straight line is an impulse selling at its most aggressive and there have been hundreds of thousands schooled and steeped in its traditions over the years”.

Since its beginning in the water street and madison avenue branches of the Shearson Lehman, the straight line has been taught and retaught a million times during countless boardroom meetings and brokerage firm training  sessions. Continue reading

Europe finally has agreed on the terms of MiFID II, extending its regulatory reach into fixed income, FX, OTC trading and blogcommodity speculation. Here are seven details you need to know as implementation begins.

We still have technical meetings to go through to finalize details, so the complete text is unlikely to be available until won or close to January 27, but here is what we understand so far:

1.  HFT will be restricted through greater testing of algorithms, but there will be no 500 m/s rule.

  • Final organizational requirements for investment firms engaged in algorithmic trading have been passed to ESMA Technical Guidelines for greater analysis concerning the risks potentially raised by technology-advanced trading practices.  Continue reading
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