valid as on 04/11/2024

Regulation 5E. Disclosures by certain persons
Effective date 01.11.2024

5E. (1) An asset management company shall, on such date as may be specified by the Board and on a quarterly basis thereafter, disclose the details of holdings in the units of its mutual fund schemes, on an aggregated basis, held by the Designated Persons of asset management company, trustees and their immediate relatives on the platform of Stock Exchanges or in any other manner

(2) Details of all the transactions in the units of its own mutual funds, above    as may be specified by the Board, executed by the Designated Persons of asset management company, trustees and their immediate relatives shall be reported by the concerned person to the Compliance Officer of asset management company within two business days from the date of transaction:

Provided that with respect to systematic transactions through any mutual fund scheme,
Designated Persons may report the same only at the time of making the first installment of the transaction along with the period of such transaction and on modifications thereof, if any:

Provided further that no reporting is required if such transaction was pursuant to

a. subscription/investment in the mutual fund units pursuant to mandatory requirement specified by Board for “Alignment of interest of Key Employees („Designated Employees‟) of Asset Management Companies with the Unitholders of the mutual fund Schemes” or otherwise, where separate records are maintained by the Asset management company in this regard. Such transactions may be governed by Circulars/guidelines issued by the Board from time to time;
b. Any trading in overnight schemes, Index funds and Exchange Traded Funds.

(3) Transactions mentioned in sub-regulation (2), shall be disclosed by the asset management company on Stock Exchange or any other manner within two business days of receipt of the same.

(4) The above disclosures shall be made in such form and such manner from time to time.

Inserted vide the Securities and Exchange Board of India (Prohibition of Insider Trading) (Amendment) Regulations, 2022 dated 24.11.2022 effective from 01.11.2024. To view the Notification, Click here.  To view the commencement Notification dated 25.07.2024, Click Here
Refer SEBI Circular dated 22.10.2024 effective from 01.11.2024 regarding inclusion of Mutual Fund units under the SEBI (PIT) Regulations, 2015. To view the Circular, Click here.  To view the Annexure A, Click Here
Refer SEBI Circular dated 22.10.2024 effective from 01.11.2024 regarding inclusion of Mutual Fund units under the SEBI (PIT) Regulations, 2015. To view the Circular, Click here.  To view the Annexure B, Click Here
Refer SEBI Circular dated 22.10.2024 effective from 01.11.2024 regarding inclusion of Mutual Fund units under the SEBI (PIT) Regulations, 2015. To view the Circular, Click here. To view the Annexure B, Click Here
Refer SEBI Circular dated 22.10.2024 effective from 01.11.2024 regarding inclusion of Mutual Fund units under the SEBI (PIT) Regulations, 2015. To view the Circular, Click here. To view the Annexure B, Click Here

Commencement Notification for SEBI PIT (Amendment) Regulations, 2022 dated 25.07.2024 w.e.f. 01.11.2024


SEBI Notification dated 24.11.2022 regarding SEBI (Prohibition of Insider Trading) (Amendment) Regulations, 2022.


SEBI Circular regarding Inclusion of Mutual Fund units in the SEBI (Prohibition of Insider Trading) Regulations, 2015 dated 22.10.2024 effective 01.11.2024


Annexure A- Inserted vide SEBI Circular dated 22.10.2024 effective 01.11.2024


Annexure B- Inserted vide SEBI Circular dated 22.10.2024 effective 01.11.2024


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