Registrar\nto an Issue & Share Transfer Agents, etc.;<\/li><\/ul>\n\n\n\nAlso,\nthis section covers details, such as follows:<\/strong><\/p>\n\n\n\n- New\nRegistrations;<\/li>
- Median\nTime Taken for the Approval of Registrations on an aggregate basis;<\/li>
- Total\nNumber of Applications for Registrations Rejected, Suspended or Cancelled;<\/li>
- Regulation\nand Supervision of activities of the Associated Intermediaries with the\nSecurities Market;<\/li><\/ul>\n\n\n\n
<\/span>Secondary Market<\/span><\/h3>\n\n\n\nThe different types of markets included\nunder this head are as follows:<\/p>\n\n\n\n
<\/span>Cash Markets<\/span><\/h4>\n\n\n\nThis\nspecific secondary market includes both Equity and Debt and Hybrid Market and\nincludes the Policy Developments, and Market Activity & Trends Observed\nregarding the same.<\/p>\n\n\n\n
Also, it shall be noted that this\nparticular sub-head will include Risk Management Measures, such as details of\nmarket concentration as well.<\/p>\n\n\n\n
<\/span>Equity Derivatives Markets<\/span><\/h4>\n\n\n\n- Policy\nDevelopments;<\/li>
- Market\nActivity & Trends Observed (comprising of details of segment and\nparticipant wise performance, a new product which requires regulatory approval\nfrom SEBI, the median time taken for the regulatory approval on an aggregate\nbasis, and how pertinent these products are for market participants and market\ndevelopments);<\/li>
- Risk\nManagement Measures (comprising of details of market concentration, such as\nproduct and participants-wise, contracts suspended or banned from trading,\netc.);<\/li><\/ul>\n\n\n\n
<\/span>Commodity Derivatives Markets<\/span><\/h4>\n\n\n\n- Policy\nDevelopments;<\/li>
- Global\nCommodity Price Movements;<\/li>
- Market\nActivity & Trends Observed (comprising of details of segment and\nparticipant wise performance, a new product which requires regulatory approval\nfrom SEBI, themedian time taken for the regulatory approval on an aggregate\nbasis, how pertinent these products are for market participants and market\ndevelopments, and the commodities that are physically delivered by the\nplatform; warehouse capacity utilisation for exchange purposes);<\/li>
- Risk\nManagement Measures (comprising of details of market concentration, such as\nproduct and participants-wise, contracts suspended or banned from trading,\netc.);<\/li><\/ul>\n\n\n\n
<\/span>Currency Derivatives Markets<\/span><\/h4>\n\n\n\n- Policy\nDevelopments;<\/li>
- Global\nCurrency Movements & Performance of Indian National Rupee;<\/li>
- Market\nActivity & Trends Observed (comprising of details of segment and\nparticipant wise performance, a new product which requires regulatory approval\nfrom SEBI, the median time taken for the regulatory approval on an aggregate\nbasis, how pertinent these products are for market participants and market\ndevelopments, andOver the Counter market v. exchange traded markets);<\/li>
- Risk\nManagement Measures (comprising of details of market concentration, such as\nproduct and participants-wise, contracts suspended or banned from trading,\netc.);<\/li><\/ul>\n\n\n\n
<\/span>Interest Rate Derivatives Markets<\/span><\/h4>\n\n\n\n- Policy\nDevelopments;<\/li>
- Market\nActivity & Trends Observed (comprising of details of segment and\nparticipant wise performance, a new product which requires regulatory approval\nfrom SEBI, the median time taken for the regulatory approval on an aggregate\nbasis, and how pertinent these products are for market participants and market\ndevelopments);<\/li>
- Risk\nManagement Measures (comprising of details of market concentration, such as\nproduct and participants-wise, contracts suspended or banned from trading,\netc.);<\/li><\/ul>\n\n\n\n
<\/span>Market Infrastructure Institutions<\/span><\/h4>\n\n\n\n- Stock\nExchanges;<\/li>
- Clearing\nCorporations;<\/li>
- Depositories;<\/li><\/ul>\n\n\n\n
<\/span>Associated Intermediaries<\/span><\/h4>\n\n\n\n- Trading\nmembers or Brokers;<\/li>
- Clearing\nMembers;<\/li>
- Investment\nAdvisors;<\/li>
- Research\nAnalysts;<\/li>
- Depository\nParticipants;<\/li>
- Approved\nIntermediaries (stock lending schemes);<\/li>
- Approved\nAssociated Intermediaries with the Commodity Market;<\/li>
- KYC\nRegistration Agencies (KRA);<\/li>
- Custodians;<\/li>
- Credit\nRating Agencies (CRA);<\/li>
- Proxy\nAdvisors (comprising of details, such as new registrations\/ suspension \/\ncancellation of the registration, and their market conduct related issues,\netc.)<\/li><\/ul>\n\n\n\n
<\/span>Fund Management Activities<\/span><\/h3>\n\n\n\nThe different types of fund management\nactivities included under this head are as follows:<\/p>\n\n\n\n
<\/span>Mutual Funds<\/span><\/h4>\n\n\n\n- Policy\nDevelopments;<\/li>
- Market\nActivity & Trends Observed (comprising of details of the schemes\nlaunched during the financial year, AUM (Assets Under Management), fund inflow\nor outflow, instrument or sector-wise deployment, scheme-wise returns (i.e.,the\ntotal number of schemes, wherein the return is below zero, between 0 to 5%, 5\nto 10%, etc.);<\/li>
- Risk\nManagement Measures (comprising of details of the\nconcentration of investments, NPA (Non Performing Assets), instances of funds\ndiversion,the quantum of the unclaimed redemption amounts, and the unclaimed\ndividends, etc.);<\/li><\/ul>\n\n\n\n
<\/span>Alternative Investment Funds (AIFs)<\/span><\/h4>\n\n\n\n- Policy\nDevelopments;<\/li>
- Market\nActivity & Trends Observed (comprising of a categorized\nlist of AIFs,total funds raised and invested, AUM, fund inflow or outflow,\ninstrument or sector-wise deployment, etc.);<\/li>
- Risk\nManagement Measures (comprising of a categorized\nlist, details of the\nconcentration of investments, NPA (Non Performing Assets), instances of funds\ndiversion, the quantum of the unclaimed redemption amounts, and the unclaimed\ndividends, etc.);<\/li><\/ul>\n\n\n\n
<\/span>Portfolio Manager<\/span><\/h4>\n\n\n\n- Policy\nDevelopments;<\/li>
- Market\nActivity & Trends Observed (comprising of a categorized\nlist of Portfolio Managers, total funds raised and invested, AUM, fund inflow\nor outflow, instrument or sector-wise deployment, etc.);<\/li>
- Risk\nManagement Measures (comprising of a categorized list\nof investors, details of the\nconcentration of investments, NPA (Non Performing Assets), instances of funds\ndiversion, the quantum of the unclaimed redemption amounts, and the unclaimed\ndividends, etc.);<\/li><\/ul>\n\n\n\n
<\/span>Collective Investment Scheme (CIS)<\/span><\/h4>\n\n\n\n- Policy\nDevelopments;<\/li>
- Market\nActivity & Trends Observed (comprising ofdetails of both interim and final\norders passed by the board on the deemed\nCIS or CIS, the details concerning the restitution of money to the investors by\nSEBI in the case of unregistered CIS);<\/li><\/ul>\n\n\n\n
<\/span>Real Estate Investment Trusts (REITs) & Infrastructure\nInvestment Trusts (InvITs)<\/span><\/h4>\n\n\n\n- Policy\nDevelopments;<\/li>
- Market\nActivity & Trends Observed (comprising of a categorized\nlist of Business Trusts, Net Asset Value, and Funds raised);<\/li>
- Risk\nManagement Measures (comprising of NPAs (Non Performing Assets) and instances\nof diversion of funds, etc.)<\/li><\/ul>\n\n\n\n
<\/span>Associated Intermediaries<\/span><\/h4>\n\n\n\nDistributors Policy Developments;<\/p>\n\n\n\n
<\/span>Foreign Portfolio Investors & Foreign Venture Capital\nInvestors<\/span><\/h3>\n\n\n\n- Policy\nDevelopments;<\/li>
- Market\nActivity & Trends Observed (comprising of AUM,\nproduct-wise investments, Foreign Portfolio Investment thresholds, and their\nutilization, etc.)<\/li><\/ul>\n\n\n\n
<\/span>Credit Rating Agencies<\/span><\/h3>\n\n\n\n- Policy\nDevelopments;<\/li>
- Market\nActivity & Trends Observed (comprising of fresh ratings and the ratings\nreviewed by CRAs, enforcement details of the CRA Regulations);<\/li>
- Risk\nManagement Measures (comprising of instances of downgrades ratings);<\/li><\/ul>\n\n\n\n
<\/span>Protection of Investors Interest <\/span><\/h3>\n\n\n\nThe different measures taken to protect\nthe interests of consumers are as follows:<\/p>\n\n\n\n
<\/span>Investors Education<\/span><\/h4>\n\n\n\n- Investor\nawareness programmes, seminars and workshops inclusive of media campaigns\n(Statewise details) conducted by SEBI andMIIs;<\/li>
- Dedicated\nInvestor Website;<\/li>
- Visits\nto SEBI;<\/li>
- Impact\nAssessment of the Education and Awareness Programmes;<\/li>
- New\ninitiativeswere undertaken for the Investor Education;<\/li>
- Financial\nEducation Workshops and Activities conducted by the SEBI-trained resource\npersonnel;<\/li>
- Joint\nprogrammes with the Stock Exchanges and Depositories, etc.<\/li><\/ul>\n\n\n\n
<\/span>Investors Centric Policy Measures<\/span><\/h4>\n\n\n\n- Primary\nMarket;<\/li>
- Secondary\nMarket (equity, commodity, debt, currency, interest rate etc.) <\/li>
- Market\nInfrastructure Institutions;<\/li>
- Intermediaries;<\/li>
- Foreign\nPortfolio Investors; <\/li>
- Foreign\nVenture Capital Investors;<\/li>
- Fund\nManagement Activities, such as follows:<\/li><\/ul>\n\n\n\n
- Mutual\nfunds; <\/li>
- Portfolio\nManagers; <\/li>
- REITs\nand InvITs; <\/li>
- Collective\nInvestment Schemes (CIS); <\/li>
- Alternative\nInvestment Funds (AIF); <\/li>
- Investment\nAdvisors;<\/li><\/ol>\n\n\n\n
- Credit\nRating Agencies and Debenture Trustees;<\/li><\/ul>\n\n\n\n
<\/span>Redressal of Investors Grievance<\/span><\/h4>\n\n\n\n- Total\nnumber of Investor Grievances Received and Redressed;<\/li>
- Analysis\nof the investors\u2019 feedback on the provided resolutions provided \/ satisfaction\nanalysis<\/li>
- Investor\nfeedback for the calls answered on SEBI toll-free helpline number;<\/li>
- Investor\nassistance, i.e., replies to queries, etc;<\/li>
- Issue\nof no objection certificates (NOCs) post Initial Public Offerings;<\/li>
- Complaints\nor arbitrage cases with the Stock Exchanges;<\/li><\/ul>\n\n\n\n
<\/span>Investor Protection Fund (IPF)<\/span><\/h4>\n\n\n\n- A\nDetailed report on the inflow of money into IPF or to the beneficial owner\nprotection funds of SEBIs and MIIs;<\/li>
- A\nDetailed report on the utilization of Funds;<\/li><\/ul>\n\n\n\n
<\/span>Technology<\/span><\/h3>\n\n\n\n- Cyber\nSecurity;<\/li>
- Technology\nin Markets Ecosystem;<\/li>
- Technology\nin SEBI;<\/li>
- FinTech\nand RegTech initiatives;<\/li>
- Other\nDevelopments;<\/li><\/ul>\n\n\n\n
<\/span>International Engagements<\/span><\/h3>\n\n\n\n