Reporting of information on a half yearly basis
Summary
This circular mandates that Merchant Bankers submit half-yearly reports to SEBI exclusively in electronic format starting from the period ended September 30, 2008. The reports must be sent via email to mb@sebi.gov.in in both PDF and Excel formats with specific naming conventions for the subject line and attached files. Additionally, the submitted reports must be duly certified by the compliance officer.
Text
Merchant Bankers are required to submit the half - yearly report in the format specified at Schedule XXVII of the SEBI (Disclosure and Investor Protection) Guidelines, 2000 relating to their merchant banking activities.
Beginning from the half year ended September 30, 2008, the Merchant Bankers shall submit the half-yearly reports to SEBI in electronic form only and the submission of such reports in hard copy shall be dispensed with.
Henceforth, the Merchant bankers are advised to submit the half-yearly reports for the period ended March 31 and September 30 in the prescribed format to e-mail id mb@sebi.gov.in in pdf and excel format. Thus, Merchant Bankers shall submit two files by e-mail – one file in pdf format and the other in excel format on a half-yearly basis.
The pdf/excel files containing the half-yearly report shall be sent to email id mb@sebi.gov.in with the title “Half-yearly report submitted by aaa for the half-year ended xxx yyyy” where aaa represents the name of the Merchant Banker, xxx represents the month at the end of the half-year and yyyy represents the year.
Also, the attached pdf/excel file containing the half- yearly report shall bear the name of the Merchant Banker, the periodicity of the report as well as the month at the end of the half-year and the corresponding year.
The reports submitted shall also be duly certified by the compliance officer.
Source: SecMarx — Reporting of information on a half yearly basis. Verbatim text is public record; SecMarx structuring (linkage to applying orders) is cited to us.