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SEBI What is Securities and Exchange Board of India

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    4. SEBI What is Securities and Exchange Board of India
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Marketopedia / Stock Markets Basic / SEBI What is Securities and Exchange Board of India

The Securities and Exchange Board of India, commonly referred to as SEBI, is a share market regulator in India. Its objective is to foster growth in the exchanges, preserve the rights of individual investors, and oversee the activities of financial intermediaries and other participants. Primarily SEBI safeguards:

  • The stock exchange & stockbrokers conducts their business fairly 
  • Participants don’t get involved in unfair practices 
  • Corporates don’t use the markets to benefit themselves (Satyam Computers) unduly 
  • Small investors’ interests are protected 
  • Large investors with mega cash piles should not manipulate the markets Overall development of markets

Considering the above, it is essential for SEBI to oversee all entities involved in the market. From brokers to mutual funds and large companies, each will play a role in keeping our share markets balanced. 

Any inappropriate activities by any of the parties could have an adverse effect on India’s otherwise smooth-running exchange.

SEBI has laid out a set of rules and regulations which all entities must abide by. This legal framework is available on the SEBI website, under the ‘Legal Framework’ category.

EntityWhat do they do?
Credit Rating AgencyThey rate the creditworthiness of corporate and governments
Debenture TrusteesAct as a trustee to corporate debenture
DepositoriesSafekeeping, reporting, and settlement of clients’ securities
Depository Participant (DP)Act as an agent to the depositories
Foreign Institutional Investors (FII)Make investments in India
Merchant BankersHelp companies raise money in the primary markets

Asset Management Companies

(AMC)

Offer Mutual Fund Schemes

Portfolio Managers/

Portfolio Management System

(PMS)

Offer PMS schemes
Stock BrokersAct as an intermediary between an investor and the stock exchange

 

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    Attention Investors

    1. Stock Brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 1, 2020.
    2. Update your mobile number & email Id with your stock broker/depository participant and receive OTP directly from depository on your email id and/or mobile number to create pledge.
    3. Pay 20% upfront margin of the transaction value to trade in cash market segment.
    4.  Investors may please refer to the Exchange’s Frequently Asked Questions (FAQs) issued vide circular reference NSE/INSP/45191 dated July 31, 2020 and NSE/INSP/45534 dated August 31, 2020 and other guidelines issued from time to time in this regard.
    5. Check your Securities /MF/ Bonds in the consolidated account statement issued by NSDL/CDSL every month.

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    Investor Alert:

    1. Prevent Unauthorised Transactions in your demat account –> Update your Mobile Number with your Depository Participant. Receive alerts on your Registered Mobile for all debit and other important transactions in your demat account directly from CDSL on the same day………………….issued in the interest of investors.
    2. KYC is one time exercise while dealing in securities markets – once KYC is done through a SEBI registered intermediary (broker, DP, Mutual Fund etc.), you need not undergo the same process again when you approach another intermediary.
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