| 1 |
831531 |
SEBI Act, 1992, Securities and Exchange Board of India (Mutual Funds) Regulations, 1996 and amendment thereto |
Other Compliance |
Any investment made by Mutual Funds and Specialized Investment Funds (SIFs) in Real Estate Investment Trusts (REITs) to be treated as an investment in equity-related instruments and Infrastructure Investment Trusts (InvITs) to continue to be classified as hybrid instruments for the purpose of investments by Mutual Funds and SIFs |
Event Based |
High |
01-01-2026 |
👁
|
| 2 |
831532 |
SEBI Act, 1992, Securities and Exchange Board of India (Mutual Funds) Regulations, 1996 and amendment thereto |
Other Compliance |
Investments in Real Estate Investment Trusts (REITs) held by debt schemes of Mutual Funds and investment strategies of SIFs as of December 31, 2025, to be grandfathered |
Event Based |
High |
28-11-2025 |
👁
|
| 3 |
831533 |
SEBI Act, 1992, Securities and Exchange Board of India (Mutual Funds) Regulations, 1996 and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to consider divesting Real Estate Investment Trusts (REITs) from the portfolios of debt schemes based on market conditions, liquidity and investor interests |
Event Based |
High |
28-11-2025 |
👁
|
| 4 |
831534 |
SEBI Act, 1992, Securities and Exchange Board of India (Mutual Funds) Regulations, 1996 and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to issue an addendum to update their scheme documents, reflecting the changes in the classification of Real Estate Investment Trusts (REITs) and these changes not to be considered a fundamental attribute change for the respective schemes |
Event Based |
High |
28-11-2025 |
👁
|
| 5 |
831442 |
Affiliation Bye-Laws - 2018 of Central Board of Secondary Education and amendment thereto |
Other Compliance |
School to ensure that the SAFAL KSA assessment is conducted in their schools with utmost sincerity and integrity, as per standard operating procedures, proctored by school authorities |
On Going |
High |
30-10-2025 |
👁
|
| 6 |
831441 |
Drug and Cosmetics Act, 1940 and Drugs Rules,1945 |
Other Compliance |
All licensees to ensure that Anabolic-Androgenic Steroids and Cardiac Stimulants like Mephentermine Injection, etc., are ‘Prescription Medicines’, and be mandatorily be sold only against a valid prescription issued by a Registered Medical Practitioner (Applicable in the State of Telengana) |
On Going |
High |
25-10-2025 |
👁
|
| 7 |
831112 |
Food Safety and Standards (Prohibition and Restrictions on Sales) Regulations, 2011 |
Other Compliance |
Prohibition on manufacturing, storage, sale or distribution of gutkha and pan masala containing tobacco and/or nicotine as ingredients for a period of one year from the 7th day of November, 2025, in the State of West Bengal (Valid till 07.11.2026) |
On Going |
High |
07-11-2025 |
👁
|
| 8 |
831113 |
Food Safety and Standards (Prohibition and Restrictions on Sales) Regulations, 2011 |
Other Compliance |
Prohibition on manufacturing, storage, sale or distribution of gutkha and pan masala containing tobacco and/or nicotine as ingredients for a period of one year from the 7th day of November, 2025, in the State of West Bengal (Valid till 07.11.2026) |
One Time |
High |
07-11-2025 |
👁
|
| 9 |
831010 |
Export of Goods and Services from India as per circular on Exports of Goods and Services issued by RBI |
Intimations |
Exporters, EPCs, Commodity Boards, and Industry Associations to provide details of relevant NTMs and certification requirements, including name and type of certification/inspection/testing, mandatory or voluntary, Affected sector(s), approximate cost and validity, applicable country/region, recognised labs/certifying bodies and any compliance challenges within 7 days via the online form |
Due Date |
High |
25-11-2025 |
👁
|
| 10 |
830662 |
Banking Regulation Act, 1949, Banking (Co-operative Societies) Rules, 1966 and amendment thereto |
Returns |
Payments Banks, Primary (Urban) Cooperative Banks Tier III and Tier IV and Rural Cooperative Banks State Cooperative Banks and District Central Cooperative Banks to submit Monitoring Progress of Financial Inclusion MPFI Quantitative Return Template-l (For the quarter of April to June) |
Quarterly |
High |
12-12-2024 |
👁
|
| 11 |
830663 |
Banking Regulation Act, 1949, Banking (Co-operative Societies) Rules, 1966 and amendment thereto |
Returns |
Payments Banks, Primary (Urban) Cooperative Banks Tier III and Tier IV and Rural Cooperative Banks State Cooperative Banks and District Central Cooperative Banks to submit Monitoring Progress of Financial Inclusion MPFI Quantitative Return Template-l (For the quarter of July to September) |
Quarterly |
High |
12-12-2024 |
👁
|
| 12 |
830664 |
Banking Regulation Act, 1949, Banking (Co-operative Societies) Rules, 1966 and amendment thereto |
Returns |
Payments Banks, Primary (Urban) Cooperative Banks Tier III and Tier IV and Rural Cooperative Banks State Cooperative Banks and District Central Cooperative Banks to submit Monitoring Progress of Financial Inclusion MPFI Quantitative Return Template-l (For the quarter of October to December) |
Quarterly |
High |
12-12-2024 |
👁
|
| 13 |
830665 |
Banking Regulation Act, 1949, Banking (Co-operative Societies) Rules, 1966 and amendment thereto |
Returns |
Payments Banks, Primary (Urban) Cooperative Banks Tier III and Tier IV and Rural Cooperative Banks State Cooperative Banks and District Central Cooperative Banks to submit Monitoring Progress of Financial Inclusion MPFI Quantitative Return Template-l (For the quarter of January to March) |
Quarterly |
High |
12-12-2024 |
👁
|
| 14 |
830666 |
Banking Regulation Act, 1949, Banking (Co-operative Societies) Rules, 1966 and amendment thereto |
Returns |
Payments Banks, Primary (Urban) Cooperative Banks Tier III and Tier IV and Rural Cooperative Banks State Cooperative Banks and District Central Cooperative Banks to submit Monitoring Progress of Financial Inclusion MPFI Quantitative Return Template-lI (For the quarter of April to June) |
Quarterly |
High |
12-12-2024 |
👁
|
| 15 |
830667 |
Banking Regulation Act, 1949, Banking (Co-operative Societies) Rules, 1966 and amendment thereto |
Returns |
Payments Banks, Primary (Urban) Cooperative Banks Tier III and Tier IV and Rural Cooperative Banks State Cooperative Banks and District Central Cooperative Banks to submit Monitoring Progress of Financial Inclusion MPFI Quantitative Return Template-lI (For the quarter of July to September) |
Quarterly |
High |
12-12-2024 |
👁
|
| 16 |
830668 |
Banking Regulation Act, 1949, Banking (Co-operative Societies) Rules, 1966 and amendment thereto |
Returns |
Payments Banks, Primary (Urban) Cooperative Banks Tier III and Tier IV and Rural Cooperative Banks State Cooperative Banks and District Central Cooperative Banks to submit Monitoring Progress of Financial Inclusion MPFI Quantitative Return Template-lI (For the quarter of October to December) |
Quarterly |
High |
12-12-2024 |
👁
|
| 17 |
830669 |
Banking Regulation Act, 1949, Banking (Co-operative Societies) Rules, 1966 and amendment thereto |
Returns |
Payments Banks, Primary (Urban) Cooperative Banks Tier III and Tier IV and Rural Cooperative Banks State Cooperative Banks and District Central Cooperative Banks to submit Monitoring Progress of Financial Inclusion MPFI Quantitative Return Template-lI (For the quarter of January to March) |
Quarterly |
High |
12-12-2024 |
👁
|
| 18 |
830649 |
Assam Shops and Establishments Act, 2022 |
Other Compliance |
Employer to obtain written consent of the women worker for working in the night shift (Where employer wants to employ women workers in night shifts) |
On Going |
High |
14-10-2025 |
👁
|
| 19 |
830650 |
Assam Shops and Establishments Act, 2022 |
Other Compliance |
Employer to obtain written consent of the women worker for working in the night shift (Where employer wants to employ women workers in night shifts) |
Event Based |
High |
14-10-2025 |
👁
|
| 20 |
830651 |
Assam Shops and Establishments Act, 2022 |
Other Compliance |
Employer to provide women security guards, Closed-Circuit Television (CCTV) surveillance, all necessary safety measures, proper transportation, separate restrooms, additional paid holidays and opportunities for rest between shifts (Where employer wants to employ women workers in night shifts) |
On Going |
High |
14-10-2025 |
👁
|
| 21 |
830652 |
Assam Shops and Establishments Act, 2022 |
Other Compliance |
Employer at the workplace to take all necessary measures to prevent and deter acts of sexual harassment, and ensure that procedures for the resolution, settlement, or prosecution of such acts are followed in accordance with the Sexual Harassment of Women at Workplace (Prevention, Prohibition and Redressal) Act, 2013 (Where employer wants to employ women workers in night shifts) |
On Going |
High |
14-10-2025 |
👁
|
| 22 |
830653 |
Assam Shops and Establishments Act, 2022 |
Other Compliance |
Employer at the workplace to maintain a congenial work environment with proper health, hygiene, and adequate leisure time, and ensure that no hostile or harmful atmosphere exists for women, so that no woman has reasonable grounds to feel disadvantaged in her employment (Where employer wants to employ women workers in night shifts) |
On Going |
High |
14-10-2025 |
👁
|
| 23 |
830654 |
Assam Shops and Establishments Act, 2022 |
Other Compliance |
Employer to ensure that, a worker not to be required or allowed to work in a shop or establishment, more than nine hours per day or forty-eight hours per week in a six-day workweek and the daily spread-over not to exceed ten and a half hours |
On Going |
High |
14-10-2025 |
👁
|
| 24 |
830655 |
Assam Shops and Establishments Act, 2022 |
Other Compliance |
Employer to ensure that, a worker not to be required or allowed to work in a shop or establishment, more than ten hours per day or forty-eight hours per week in a five-day workweek and the daily spread-over not to exceed twelve hours and overtime to be paid at double the normal wage rate |
On Going |
High |
14-10-2025 |
👁
|
| 25 |
830646 |
Industrial Employment (Standing Orders) Act, 1946 and Punjab Rules, 1949- For Haryana |
Other Compliance |
Constitution of internal committee as per the Sexual Harassment of Women at Workplace (Prevention, Prohibition and Redressal) Act, 2013 by IT, ITES, Startups, Animations, Gaming, Computer Graphics, Telecom, GCC, BPO, KPO etc. which are exempted from applicability of Industrial Employment (Standing Order) Act, 1946 |
On Going |
Low |
20-11-2025 |
👁
|
| 26 |
830647 |
Industrial Employment (Standing Orders) Act, 1946 and Punjab Rules, 1949- For Haryana |
Other Compliance |
Constitution of Grievance Redressal Committee (GRC) by IT, ITES, Startups, Animations, Gaming, Computer Graphics, Telecom, GCC, BPO, KPO etc. which are exempted from applicability of Industrial Employment (Standing Order) Act, 1946 |
On Going |
Low |
20-11-2025 |
👁
|
| 27 |
830648 |
Industrial Employment (Standing Orders) Act, 1946 and Punjab Rules, 1949- For Haryana |
Intimations |
IT, ITES, Startups, Animations, Gaming, Computer Graphics, Telecom, GCC, BPO, KPO etc. which are exempted from applicability of Industrial Employment (Standing Order) Act, 1946 to intimate about the cases of disciplinary action like suspension, discharge, termination demotion, dismissal etc., of its employees to the Jurisdictional Deputy Labour Commissioner and Labour Commissioner, Haryana |
Event Based |
Low |
20-11-2025 |
👁
|
| 28 |
830631 |
Factories Act, 1948 and Assam Factories Rules, 1950 |
Other Compliance |
Responsibility of the employer in workplaces or institutions to prevent any act that may constitute sexual harassment and to establish procedures for resolving, reporting, or prosecuting such acts by taking all necessary measures, in the event such an incident occurs (Where employer wants to employ women workers in night shifts) |
Event Based |
High |
25-09-2025 |
👁
|
| 29 |
830632 |
Factories Act, 1948 and Assam Factories Rules, 1950 |
Other Compliance |
Employer to promptly initiate action under the applicable penal law, ensuring that victims and witnesses are not victimized or discriminated against during the complaint process, in the event of a criminal case and to transfer or reassign the perpetrator at the request of the affected worker, and to take disciplinary action if the behaviour amounts to workplace misconduct (Where employer wants to employ women workers in night shifts) |
Event Based |
High |
25-09-2025 |
👁
|
| 30 |
830633 |
Factories Act, 1948 and Assam Factories Rules, 1950 |
Other Compliance |
Employer to establish a complaint redressal mechanism within the factory to ensure that all complaints are addressed in a timely manner (Where employer wants to employ women workers in night shifts) |
Event Based |
High |
25-09-2025 |
👁
|
| 31 |
830634 |
Factories Act, 1948 and Assam Factories Rules, 1950 |
Other Compliance |
Employer and the person in charge of the factory to take all necessary and reasonable steps to support the affected individual and to implement preventive measures, where harassment occurs at the instance of a third party, whether by act or omission (Where employer wants to employ women workers in night shifts) |
On Going |
High |
25-09-2025 |
👁
|
| 32 |
830635 |
Factories Act, 1948 and Assam Factories Rules, 1950 |
Other Compliance |
Employer and the person in charge of the factory to take all necessary and reasonable steps to support the affected individual and to implement preventive measures, where harassment occurs at the instance of a third party, whether by act or omission (Where employer wants to employ women workers in night shifts) |
Event Based |
High |
25-09-2025 |
👁
|
| 33 |
830636 |
Factories Act, 1948 and Assam Factories Rules, 1950 |
Other Compliance |
Employer to strictly prohibit sexual harassment in any form, including unwelcome sexual behaviour, whether direct or implied, unwelcome advances or contact, requests for sexual favors, sexually suggestive remarks, display of pornography, or any other unwelcome physical, verbal, or non-verbal conduct of a sexual nature (Where employer wants to employ women workers in night shifts) |
On Going |
High |
25-09-2025 |
👁
|
| 34 |
830637 |
Factories Act, 1948 and Assam Factories Rules, 1950 |
Other Compliance |
Factory management to formulate rules and regulations concerning conduct and discipline to prohibit sexual harassment, provide appropriate penalties for offenders, and update or amend these rules as necessary, including any provisions contained in the Standing Orders (Where employer wants to employ women workers in night shifts) |
On Going |
High |
25-09-2025 |
👁
|
| 35 |
830638 |
Factories Act, 1948 and Assam Factories Rules, 1950 |
Other Compliance |
Employer to ensure appropriate working conditions regarding work, rest, health, and hygiene to maintain a safe and respectful environment for women employees, so that no woman has reasonable grounds to believe she is disadvantaged in connection with her employment (Where employer wants to employ women workers in night shifts) |
On Going |
High |
25-09-2025 |
👁
|
| 36 |
830630 |
Factories Act, 1948 and Assam Factories Rules, 1950 |
Other Compliance |
Separate vehicle to be kept ready to handle urgent situations such as hospitalization, injuries, or incidents of harassment, where more than one hundred women employees work in a shift (Where employer wants to employ women workers in night shifts) |
On Going |
High |
25-09-2025 |
👁
|
| 37 |
830588 |
PML Act, 2002, International Financial Services Centres Authority (Anti Money Laundering, Counter-Terrorist Financing and Know Your Customer) Guidelines, 2022 and amendment thereto |
Other Compliance |
All Designated Directors and Principal Officers to complete the certification course, namely NISM-IFSCA-01- Certification Course on Anti-Money Laundering and Counter-Terrorist Financing in the IFSC within four (4) months from the date of launch of the course, or from their date of their appointment as such, as the case may be |
Due Date |
High |
17-11-2025 |
👁
|
| 38 |
830589 |
PML Act, 2002, International Financial Services Centres Authority (Anti Money Laundering, Counter-Terrorist Financing and Know Your Customer) Guidelines, 2022 and amendment thereto |
Other Compliance |
All Designated Directors and Principal Officers to complete the certification course, namely NISM-IFSCA-01- Certification Course on Anti-Money Laundering and Counter-Terrorist Financing in the IFSC within four (4) months from the date of launch of the course, or from their date of their appointment as such, as the case may be |
Event Based |
High |
17-11-2025 |
👁
|
| 39 |
830590 |
PML Act, 2002, International Financial Services Centres Authority (Anti Money Laundering, Counter-Terrorist Financing and Know Your Customer) Guidelines, 2022 and amendment thereto |
Other Compliance |
Employees of the Regulated Entity apart from Designated Directors and Principal Officers also allowed to undergo the certification course, namely NISM-IFSCA-01- Certification Course on Anti-Money Laundering and Counter-Terrorist Financing in the IFSC (Optional) |
On Going |
High |
17-11-2025 |
👁
|
| 40 |
830591 |
PML Act, 2002, International Financial Services Centres Authority (Anti Money Laundering, Counter-Terrorist Financing and Know Your Customer) Guidelines, 2022 and amendment thereto |
Other Compliance |
Regulated Entities to ensure that in compliance with the clause 8.4 of the Guidelines, all front-line staff, Principal Officer and other relevant employees to undergo continuous capacity building programme including any other program as advised by the Authority from time to time |
On Going |
High |
17-11-2025 |
👁
|
| 41 |
830587 |
PML Act, 2002, International Financial Services Centres Authority (Anti Money Laundering, Counter-Terrorist Financing and Know Your Customer) Guidelines, 2022 and amendment thereto |
Other Compliance |
All the Designated Directors and Principal Officers under the Guidelines to mandatorily undergo the customized certification course, namely NISM-IFSCA-01- Certification Course on Anti-Money Laundering and Counter-Terrorist Financing in the IFSC developed by the National Institute of Securities Markets (NISM) in collaboration with the IFSCA Academy and to continue to hold the said certification at all times while discharging their responsibilities under the Guidelines |
On Going |
High |
17-11-2025 |
👁
|
| 42 |
830581 |
Food Safety and Standards (Licensing and Registration of Food Businesses) Regulations, 2011 |
Other Compliance |
All Food Business Operators (FBOs) who sell milk and milk products through vending machines, kiosks, or similar dispensers to take steps that improve food safety, protect consumers, and build trust in the quality of these products |
On Going |
High |
19-11-2025 |
👁
|
| 43 |
830582 |
Food Safety and Standards (Licensing and Registration of Food Businesses) Regulations, 2011 |
Other Compliance |
All dairy manufacturers selling milk or milk products through vending or kiosk machines to keep or provide FSSAI-approved/validated rapid test kits at the vending/kiosk location for basic detection of common adulterants in milk and milk products, to promote food safety, consumer confidence, transparency, and a participatory food safety culture (FSSAI-approved Rapid Analytical Food Testing kits are listed on the FSSAI website) |
On Going |
High |
19-11-2025 |
👁
|
| 44 |
830583 |
Food Safety and Standards (Licensing and Registration of Food Businesses) Regulations, 2011 |
Display Compliance |
Concerned dairy units to display clear and simple instructions on the use of the Rapid Test Kit |
On Going |
High |
19-11-2025 |
👁
|
| 45 |
830584 |
Food Safety and Standards (Licensing and Registration of Food Businesses) Regulations, 2011 |
Other Compliance |
Concerned dairy units to enable consumer self-checking by either allowing consumers to use the kits at the kiosk, or and providing demonstrations through trained personnel |
On Going |
High |
19-11-2025 |
👁
|
| 46 |
830585 |
Food Safety and Standards (Licensing and Registration of Food Businesses) Regulations, 2011 |
Other Compliance |
Concerned dairy units to ensure that all kits are within their validity period and stored according to the manufacturer's instructions |
On Going |
High |
19-11-2025 |
👁
|
| 47 |
830586 |
Food Safety and Standards (Licensing and Registration of Food Businesses) Regulations, 2011 |
Records/Registers |
Concerned dairy units to monitor and maintain records of the test results and the utilization of these kits |
On Going |
High |
19-11-2025 |
👁
|
| 48 |
830237 |
Master Circular for Mutual Funds and amendment thereto |
Records/Registers |
Asset Management Company (AMC) to be responsible for maintaining all documentation pertaining to unitholders/investors, pursuant to the requirements prescribed by the Board in relation to Anti-Money Laundering (AML) Standards, Combating the Financing of Terrorism (CFT) and the obligations of securities market intermediaries under the Prevention of Money Laundering Act, 2002 and the rules made thereunder |
On Going |
High |
27-06-2024 |
👁
|
| 49 |
830238 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Trustees to ensure that further commissions, fees, or any other form of payment not to be made to such distributors until full compliance is achieved and the required steps, as outlined herein, are completed (In cases where investor related documentation was found to be incomplete, inadequate, unavailable, or stated to be held by distributors) |
On Going |
High |
27-06-2024 |
👁
|
| 50 |
830239 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Trustees to ensure immediate steps to be taken to obtain all investor/unitholder documentation in compliance with Anti-Money Laundering/Combating the Financing of Terrorism (AML/CFT) requirements, including Know Your Customer (KYC) documents and Power of Attorney (PoA), as applicable (In cases where investor related documentation was found to be incomplete, inadequate, unavailable, or stated to be held by distributors) |
On Going |
High |
27-06-2024 |
👁
|
| 51 |
830240 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Trustees to ensure immediate action also to be taken to obtain all supporting documents relating to past transactions (In cases where investor related documentation was found to be incomplete, inadequate, unavailable, or stated to be held by distributors) |
On Going |
High |
27-06-2024 |
👁
|
| 52 |
830241 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Trustees to ensure that a statement of holdings and a record of all transactions since the inception of the folio to be sent in duplicate to the investor, and confirmation to be sought from the unitholder on the duplicate copy, on a one-time basis (In cases where investor related documentation was found to be incomplete, inadequate, unavailable, or stated to be held by distributors) |
One Time |
High |
27-06-2024 |
👁
|
| 53 |
830242 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Trustees to ensure that a separate customer service mechanism to be established to address and resolve queries and grievances from the aforementioned unitholders (In cases where investor related documentation was found to be incomplete, inadequate, unavailable, or stated to be held by distributors) |
On Going |
High |
27-06-2024 |
👁
|
| 54 |
830243 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Asset Management Company (AMC) to be fully satisfied regarding the investor's bona fides before authorizing any transactions, including redemptions, in such accounts/folios, until the completion of the required documentation |
On Going |
High |
27-06-2024 |
👁
|
| 55 |
830244 |
Master Circular for Mutual Funds and amendment thereto |
Intimations |
Trustees to promptly confirm to the Board that appropriate steps had been initiated to address the specified requirements, and subsequently, to provide the Board with a status update upon completion of the process to their satisfaction |
Event Based |
High |
27-06-2024 |
👁
|
| 56 |
830245 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
All Mutual Funds/Asset Management Companies to ensure that new folios/accounts are opened only after verifying that all required investor documents such as account opening forms, Permanent Account Number (PAN), Know Your Customer (KYC), Power of Attorney (if applicable), and specimen signatures are maintained with the AMC/Registrar and Transfer Agent (RTA), rather than only with the distributor |
On Going |
High |
27-06-2024 |
👁
|
| 57 |
830246 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to ensure that all investor-related documents such as account opening forms, Permanent Account Number (PAN), Know Your Customer (KYC), Power of Attorney (where applicable), and specimen signatures are properly updated and maintained, for existing folios |
On Going |
High |
27-06-2024 |
👁
|
| 58 |
830247 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Stock Exchange terminals to be utilized to facilitate transactions in mutual fund schemes, thereby extending to mutual fund investors the same convenience currently available to secondary market investors |
On Going |
High |
27-06-2024 |
👁
|
| 59 |
830248 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Transactions in units of mutual fund schemes to be carried out through registered stock brokers of recognized stock exchanges and such stock brokers to be treated as official points of acceptance for mutual fund transactions |
On Going |
High |
27-06-2024 |
👁
|
| 60 |
830249 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Mutual Funds and Asset Management Companies (AMCs) to ensure empanelment and monitoring of code of conduct for brokers acting as mutual fund intermediaries |
On Going |
High |
27-06-2024 |
👁
|
| 61 |
830250 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Mutual Funds and Asset Management Companies (AMCs) to ensure that confirmation slip issued by stock exchange mechanism to be considered as valid time stamp for compliance with Board-mandated cut-off timing provisions |
On Going |
High |
27-06-2024 |
👁
|
| 62 |
830251 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Know your client (KYC) verification carried out by the Depository Participant (DP) in accordance with SEBI requirements to be deemed to be compliance with the KYC requirements prescribed by the respective Mutual Funds/Asset Management Companies (AMCs), where an investor opts to hold units in dematerialised form |
On Going |
High |
27-06-2024 |
👁
|
| 63 |
830252 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Mutual Funds/Asset Management Companies (AMCs) to ensure that Know your client (KYC) requirements of all investors are duly completed in accordance with the prescribed guidelines |
On Going |
High |
27-06-2024 |
👁
|
| 64 |
830253 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Mutual Funds/Asset Management Companies (AMCs) to enhance their mechanisms to better serve the interests of investors, based on the experience gained |
On Going |
High |
27-06-2024 |
👁
|
| 65 |
830254 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Units of mutual fund schemes to be transacted via clearing members of registered Stock Exchanges |
On Going |
High |
27-06-2024 |
👁
|
| 66 |
830255 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Investors to receive redemption proceeds and units through the broker/clearing member's pool account |
On Going |
High |
27-06-2024 |
👁
|
| 67 |
830256 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Mutual Funds (MFs)/Asset Management Companies (AMCs) to transfer redemption amounts or units to the broker/clearing member, who will in turn pass them on to the respective investor |
On Going |
High |
27-06-2024 |
👁
|
| 68 |
830257 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Mutual Fund (MF)/Asset Management Company (AMC) obligations to the investor to be deemed fulfilled, once the MF/AMC transfers redemption proceeds or credits units to the broker/clearing member's pool account |
On Going |
High |
27-06-2024 |
👁
|
| 69 |
830258 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
SEBI-registered Investment Advisors (RIAs) to utilize the infrastructure of recognized stock exchanges to purchase and redeem mutual fund units directly from Mutual Funds/Asset Management Companies (AMCs) on behalf of their clients, including transactions under direct plans |
On Going |
High |
27-06-2024 |
👁
|
| 70 |
830259 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Mutual Fund Distributor registered with the Association of Mutual Funds in India (AMFI) and authorized by the concerned recognized Stock Exchange to be eligible to utilize the infrastructure of recognized Stock Exchanges to purchase and redeem mutual fund units directly from Mutual Funds/Asset Management Companies (AMCs) |
On Going |
High |
27-06-2024 |
👁
|
| 71 |
830260 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Mutual Fund Distributors not to handle the pay-in or payout of funds or units on behalf of investors |
On Going |
High |
27-06-2024 |
👁
|
| 72 |
830261 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Investors to directly utilize the infrastructure of recognized Stock Exchanges to purchase and redeem mutual fund units directly from Mutual Funds/Asset Management Companies (AMCs) |
On Going |
High |
27-06-2024 |
👁
|
| 73 |
830262 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Pooling of funds or units by stock brokers or clearing members in any form, for mutual fund transactions, to be discontinued |
On Going |
High |
27-06-2024 |
👁
|
| 74 |
830263 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Stock brokers and clearing members not to handle the pay-in/pay-out of funds |
On Going |
High |
27-06-2024 |
👁
|
| 75 |
830264 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Mutual fund units to be credited or debited directly to/from the investor's demat account or folio account, by passing the pool accounts of the stock brokers or clearing members, for both demat and non-demat transactions |
On Going |
High |
27-06-2024 |
👁
|
| 76 |
830265 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Stock brokers and clearing members involved in facilitating mutual fund transactions not to accept any mandates for Systematic Investment Plans (SIPs) or Lump Sum transactions in their own name |
Event Based |
High |
27-06-2024 |
👁
|
| 77 |
830266 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Stock brokers and clearing members involved in facilitating mutual fund transactions only accept cheque payments from investors, provided the cheques are issued in favor of the relevant SEBI-recognized Clearing Corporations or the respective mutual fund schemes |
Event Based |
High |
27-06-2024 |
👁
|
| 78 |
830267 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Stock brokers and clearing members involved in facilitating mutual fund transactions to refrain from accepting or handling the funds or units of investors within their proprietary accounts or pool accounts, in any form or manner |
Event Based |
High |
27-06-2024 |
👁
|
| 79 |
830268 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Stock brokers and clearing members involved in facilitating mutual fund transactions not to accept payments through one-time mandates or issue any mandates/instruments in their own name for mutual fund transactions |
Event Based |
High |
27-06-2024 |
👁
|
| 80 |
830269 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Payment Aggregator (PA) to directly credit the monies collected from the investor's bank account only into an Approved Account |
Event Based |
High |
27-06-2024 |
👁
|
| 81 |
830270 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Payment Aggregator (PA) not to act upon any instructions from stock brokers or clearing members to alter or modify the list of Approved Accounts, and under no circumstances funds to be credited to the bank account of stock brokers or clearing members |
Event Based |
High |
27-06-2024 |
👁
|
| 82 |
830271 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Responsibility of Asset Management Companies (AMCs) for ensuring compliance with the provisions of the Prevention of Money Laundering Act (PMLA) and preventing transactions involving third-party bank accounts |
On Going |
High |
27-06-2024 |
👁
|
| 83 |
830272 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to have the option to engage the services of SEBI-approved Clearing Corporations to verify the source bank account information of investors |
On Going |
High |
27-06-2024 |
👁
|
| 84 |
830273 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs), Registrar and Transfer Agents (RTAs) and other relevant entities involved to ensure that all pertinent information to be made accessible to all stakeholders in the transaction process, such as investors, banks, payment aggregators, stock brokers, clearing members, clearing corporations in accordance with the Operating Guidelines issued by the Stock Exchanges |
Event Based |
High |
27-06-2024 |
👁
|
| 85 |
830274 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Stock brokers to comply with general obligations and responsibilities specified in Chapter III of SEBI (Investment Advisers) Regulations, 2013, which include, among other things, ensuring that advisory and distribution activities are segregated at both the entity level and the group level for each client |
On Going |
High |
27-06-2024 |
👁
|
| 86 |
830275 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to ensure that any financial or non-financial transaction is permitted only when a valid service agreement exists between the AMC and the concerned service provider or platform |
Event Based |
High |
27-06-2024 |
👁
|
| 87 |
830276 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to ensure that the practice of intermediate pooling of funds or units by Mutual Fund Distributors (MFDs), Investment Advisers (IAs), Mutual Fund Utility (MFU), channel partners, or any other service providers/platforms, irrespective of their designation is discontinued for mutual fund transactions |
Event Based |
High |
27-06-2024 |
👁
|
| 88 |
830277 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to ensure that funds to be credited directly from the investor's bank account to the mutual fund scheme account without any form of intermediate pooling, for subscription |
Event Based |
High |
27-06-2024 |
👁
|
| 89 |
830278 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to ensure that funds to be routed through RBI-authorized payment aggregators or SEBI-recognized clearing corporations, as applicable, for operational convenience |
Event Based |
High |
27-06-2024 |
👁
|
| 90 |
830279 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to ensure that redemption proceeds to be transferred directly from the mutual fund scheme account to the investor's registered bank account, with no intermediate pooling, for redemption |
Event Based |
High |
27-06-2024 |
👁
|
| 91 |
830280 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to ensure that units to be credited directly to the investor's account whether in demat or non-demat form without any intermediate pooling, for credit of units (Subscription) |
Event Based |
High |
27-06-2024 |
👁
|
| 92 |
830281 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to ensure that units to be transferred directly from the investor's account to the mutual fund for processing redemptions, in both demat and non-demat modes, without any intermediate pooling, for transfer of units (Redemption) |
Event Based |
High |
27-06-2024 |
👁
|
| 93 |
830282 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Mutual Fund Distributors (MFDs), Investment Advisers (IAs), Mutual Fund Utility (MFU), channel partners and other entities (including online platforms) facilitating mutual fund transactions not to accept payments via one-time mandates (OTM) or accept the issuance of mandates/instruments in their own name for such transactions |
Event Based |
High |
27-06-2024 |
👁
|
| 94 |
830283 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Payment Aggregator (PA) to directly credit the funds collected from the investor's bank account to an Approved Account, based on the mandate or instruction given by the investor to the One Time Mandate (OTM) holder |
Event Based |
High |
27-06-2024 |
👁
|
| 95 |
830284 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Payment Aggregator (PA) not to act on any request from the One Time Mandate (OTM) holder to alter or modify the list of Approved Accounts and under no circumstances the funds to be credited to the OTM holder's bank account |
Event Based |
High |
27-06-2024 |
👁
|
| 96 |
830285 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to ensure that the Payment Aggregator (PA) has appropriate safeguards in place to verify that the Approved Account is either a mutual fund scheme account or a mutual fund pool account registered with SEBI |
Event Based |
High |
27-06-2024 |
👁
|
| 97 |
830286 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to enter into an agreement with the Payment Aggregator (PA) to ensure that only transactions compliant with these provisions are processed |
Event Based |
High |
27-06-2024 |
👁
|
| 98 |
830287 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to implement sufficient checks and monitoring mechanisms, including third-party audits (at least annually), to verify compliance with these provisions which shall form part of the agreement with the Payment Aggregator (PA) |
Event Based |
High |
27-06-2024 |
👁
|
| 99 |
830288 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to be held accountable to unit holders for any breach of these conditions or misuse of funds by the Payment Aggregator (PA) or the One Time Mandate (OTM) holder in relation to mutual fund transactions covered by the mandates |
Event Based |
High |
27-06-2024 |
👁
|
| 100 |
830289 |
Master Circular for Mutual Funds and amendment thereto |
Other Compliance |
Asset Management Companies (AMCs) to ensure that cheque payments from investor to be made in favor of the respective Mutual Fund Schemes only |
Event Based |
High |
27-06-2024 |
👁
|
