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SEBI (Amendment) Regulations


 
 
 

 

Securities and Exchange Board of India (Prohibition of Insider Trading) (Amendment) Regulations, 2003

 


S.O. No. 796 (E).- In exercise of the powers conferred by section 30 of the Securities and Exchange Board of India Act, 1992 (15 of 1992), the Board hereby makes the following regulations to amend the Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 1992, namely:-
1. (i)These regulations may be called the Securities and Exchange Board of India (Prohibition of Insider Trading) (Amendment) Regulations, 2003.
(ii) They shall come into force on the date of their publication in the Official Gazette.
2. In the Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 1992, in regulation 13 in sub-regulation (1), after the words “shall disclose to the company” and before the words “the number of shares, the following shall be inserted namely -
“in Form A”
3. In the Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 1992, in regulation 13 in sub-regulation (2), after the words “shall disclose to the company” and before the words “the number of shares, the following shall be inserted namely -
“in Form B”
4. In the Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 1992, in regulation 13 in sub-regulation (3), after the words “shall disclose to the company” and before the words “the number of shares, the following shall be inserted namely -
“in Form C”
5. In the Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 1992, in regulation 13 in sub-regulation (4), after the words “shall disclose to the company” and before the words “the number of shares, the following shall be inserted namely -
“in Form D”
6. In the Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 1992, in regulation 13 in sub-regulation (6), after the words “sub-regulations (1), (2), (3) and (4)”, the following shall be added namely:-
“in the respective formats specified in Schedule III”
7. In the Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 1992, after Schedule II, the following shall be inserted namely -

“SCHEDULE III”
FORMS
FORM A
Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 1992
(Regulation 13 (1) and (6)
Regulation 13(1) – Details of acquisition of 5% or more shares in a listed company
Name & address of shareholder with telephone number Shareholding prior to acquisition No.and percentage of shares /voting rights acquired Date of receipt of allotment /advice. Date of acquisition(specify) Date of intimation to Company Mode of acquisition (market purchase/public/
rights/
preferential offer etc.) Shareholding subsequent to acquisition Trading member through whom the trade was executed with SEBI Registration No.of the TM Exchange on which the trade was executed Buy quantity Buy value

FORM B
Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 1992
(Regulation 13 (2) and (6)
Regulation 13 (2) – Details of shares held by Director or officer of a Listed company
Name & Address of Director/Officer Date of assuming office of Director / Officer No. & % of shares/voting rights held at the time of becoming Director / Officer Date of intimation to company Mode of acquisition (market purchase / public / rights / preferential offer etc.) Trading member through whom the trade was executed with SEBI Registration No. of the TM Exchange on which the trade was executed Buy quantity Buy value

FORM C
Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 1992
(Regulation 13 (3) and (6)
Regulation 13(3) – Details of change in shareholding in respect of persons holding more than 5% shares in a listed company
Name & address of shareholders Shareholding prior to acquisition/sale No. & % of shares/voting rights acquired/sold Receipt of allotment advice/acquisition of shares/sale of shares – specify Date of intimation to company Mode of acquisition on (market purchase/public/rights/preferential offer etc.) No. & % of shares/voting rights post-acquisition/sale Trading member through whom the trade was executed with SEBI Registration no. of the TM Exchange on which the trade was executed Buy quantity Buy value Sell quantity Sell value


FORM D
Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 1992
(Regulation 13 (4) and (6)
Regulation 13(4) – Details of change in shareholding of Director or Officer of a Listed Company
Name & Address of Director/Officer No. & % of shares/voting rights held by the Director/Officer Date of receipt of allotment advice/acquisition / sale of shares/voting rights Date of intimation to company Mode of acquisition(market purchase/public/rights/preferential offier etc.) No. & % of shares/post acquisition/voting rights sale Trading member through whom the trade was executed with SEBI Registration no. of the TM Exchange on which the trade was executed Buy quantity Buy value Sell quantity Sell value



 
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