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SEBI's Annual Report 2016-17

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SEBI's Annual Report 2016-17 ANNUAL REPORT 2016-17 This Report is in conformity with the format as per the Securities and Exchange Board of India (Annual Report) Rules, 1994, notified in Official Gazette on April 7, 1994 AO¶ ˶mJr Aܶj Ajay Tyagi भारतीय प्रततभूतत और वितिमय बोर㔡 SECURITIES AND EXCHANGE BOARD OF INDIA Chairman g{Md, S>rB©nrE/14625/1/2017 ^maV gaH$ma, 22 OyZ, 2017 Am{W©H$ H$m¶© {d^mJ, {dÎm ‘§Ìmb¶, Zm°W© ãbm°H$, ZB© {Xëbr-110 001 {ච‘hmoX¶, ^maVr¶ à{V^y{V Am¡a {d{Z‘¶ ~moS>© A{Y{Z¶‘, 1992 H$s Ymam 18(2) Ho$ àmdYmZm| Ho$ AZwgma, ‘¢ EVXÛmam ^maV Ho$ amOnÌ, AgmYmaU Ho$ ^mJ II IÊS> 3 Cn-IÊS> (1) ‘|, 7 Aà¡b 1994 H$mo A{Ygy{MV ^maVr¶ à{V^y{V Am¡a {d{Z‘¶ ~moS>© (dm{f©H$ [anmoQ>©) {Z¶‘, 1994 ‘| {ZYm©[aV {H$E JE àmê$n ‘|, 31 ‘mM© 2017 H$mo g‘mßV df© Ho$ {bE ^maVr¶ à{V^y{V Am¡a {d{Z‘¶ ~moS>© H$s dm{f©H$ [anmoQ>© H$s à{V AJ«o{fV H$a ahm hÿ±& ^dXr¶, (AO¶ ˶mJr) g§b½Z : Cnamoº$mZwgma The Secretary, DEPA/14625/1/2017 Government of India 22 June, 2017 Department of Economic Affairs Ministry of Finance, North Block, New Delhi-110 001 Dear Sir, In accordance with the provisions of Section 18(2) of the Securities and Exchange Board of India Act, 1992, I forward herewith the copy of the Annual Report of the Securities and Exchange Board of India for the year ended March 31, 2017, in the format prescribed in the Securities and Exchange Board of India (Annual Report) Rules, 1994, notified on April 7, 1994, in Part II Section 3 Sub - section (1) of the Gazette of India Extraordinary. Yours faithfully, (Ajay Tyagi) Encl.: As above MEMBERS OF THE BOARD (As on March 31, 2017) Appointed under Section 4(1)(a) of the SEBI Act, 1992 (15 of 1992) AJAY TYAGI CHAIRMAN Appointed under Section 4(1)(d) of the SEBI Act, 1992 (15 of 1992) S. RAMAN WHOLE TIME MEMBER G. MAHALINGAM WHOLE TIME MEMBER MADHABI PURI BUCH WHOLE TIME MEMBER ARUN P. SATHE PART TIME MEMBER Nominated under Section 4(1)(b) of the SEBI Act, 1992 (15 of 1992) SHAKTIKANTA DAS Secretary, Ministry of Finance, Department of Economic Affairs, Government of India TAPAN RAY Secretary, Ministry of Corporate Affairs, Government of India Nominated under Section 4(1)(c) of the SEBI Act, 1992 (15 of 1992) N. S. VISHWANATHAN Deputy Governor, Reserve Bank of India MEMBERS OF THE BOARD AJAY TYAGI Chairman S. RAMAN G. MAHALINGAM MADHABI PURI BUCH ARUN P. SATHE Whole Time Member Whole Time Member Whole Time Member Part Time Member SHAKTIKANTA DAS TAPAN RAY N. S. VISHWANATHAN Secretary Ministry of Finance Secretary Ministry of Corporate Deputy Governor Department of Economic Affairs Affairs Government of India Reserve Bank of India Government of India Chairman, Whole Time Members and Executive Directors (Left to Right) Sitting: Ms. Madhabi Puri Buch, Whole Time Member; Shri S. Raman, Whole Time Member; Shri Ajay Tyagi, Chairman; Shri G.Mahalingam, Whole Time Member Standing: Shri J Ranganayakulu, Executive Director; Shri S. Ravindran, Executive Director; Shri Amarjeet Singh, Executive Director; Shri Ananta Barua, Executive Director; Shri S.V. Murali Dhar Rao, Executive Director; Shri P. K. Nagpal, Executive Director; Shri Nagendraa Parakh, Executive Director; Shri S. K. Mohanty, Executive Director EXECUTIVE DIRECTORS (As on June 29, 2017) Shri P. K. Nagpal Office of International Affairs; Human Resources Division; Official Language Division; RTI Cell; PQ Cell; Board Cell and Chief Vigilance Officer Shri J Ranganayakulu Legal Affairs Department; Enforcement Department and Enquiry and Adjudication Department Shri Ananta Barua Corporation Finance Department and Office of Investor Assistance and Education Shri S. Ravindran Investigation Department; Market Regulation Department and Special Enforcement Cell Shri S.V. Murali Dhar Rao Investment Management Department; Foreign Portfolio Investment; Collective Investment Scheme; Regional and Local Offices Shri S. K. Mohanty Commodity Derivatives Market Regulation Department and Facilities Management Division, Establishment Division, Treasury & Accounts Division and Protocol & Security in the General Services Department Shri Nagendraa Parakh Integrated Surveillance Department and Information Technology Department Shri Amarjeet Singh Market Intermediaries Regulation and Supervision Department; Department of Economic and Policy Analysis and National Institute of Securities Market CHIEF GENERAL MANAGERS (As on June 29, 2017) Shri P. K. Kuriachen On Deputation to FSC, Mauritius Shri P.K. Bindlish Commodity Derivatives Market Regulation Department Shri S. V. Krishnamohan Enquiry and Adjudication Department Shri G. P .Garg On Deputation to NISM Shri A. Rajan Information Technology Department Shri Suresh B. Menon Enquiry and Adjudication Department Shri Suresh Gupta Enquiry and Adjudication Department Shri V. S. Sundaresan Investigation Department, Special Enforcement Cell Shri Sujit Prasad Southern Regional Office Shri Amit Pradhan Northern Regional Office Shri N. Hariharan Communication Division, Office of Investor Assistance and Education Shri Piyoosh Gupta Investment Management Department - Division of Funds (DoF) - 2 & 3 Ms.G. Babita Rayudu Legal Affairs Department Shri A. Sunil Kumar Eastern Regional Office Shri Jayanta Jash Corporation Finance Department, Human Resources Department Shri Parag Basu Market Intermediaries Regulation and Supervision Department, Board Cell Ms. Barnali Mukherji Investment Management Department - Division of Funds (DoF) - 1 Shri Manoj Kumar Market Regulation Department Shri Sunil Kadam Integrated Surveillance Department (ISD) - 1 Shri Santosh Shukla Western Regional Office Dr. Prabhakar Patil Department of Economic and Policy Analysis - 2, ISD - 2 Dr. Sarat Malik Department of Economic and Policy Analysis - 1 ANNUAL REPORT TEAM Dr. Sarat Malik Chief General Manager Mr. Tathagata Biswas Assistant General Manager Ms. Akriti Manager Ms. Suvidha Nagpal Manager Mr. Kshitij Sorde Assistant Manager Mr. Sumit Kumar Verma Assistant Manager Mr. Yogesh Chander Assistant Manager Mr. A V Subba Rao Secretary Depa - 2 CHAIRMAN’S STATEMENT of doing business and financial education, developing the commodity derivatives market by strengthening risk management norms and introducing the framework for options and framework for the operationalization of the International Financial Services Centre (IFSC) remained the main areas of policy thrust during the year. The overall positive outlook of the economy led the Indian securities market to perform well during 2016-17, Going forward, SEBI will continue to play an enabling role with equity benchmark indices, BSE Sensex and NIFTY in the Indian securities market in efficient mobilization registering growth of 16.9 and 18.5 per cent respectively. and allocation of financial resources to meet the needs These benchmark equity indices continued their surge of the fast growing Indian economy. SEBI will stay in financial year 2017-18 touching new highs amidst a focused on investor protection by further strengthening more positive economic outlook. the overall governance framework in the market. As far as investments in the Indian securities market The securities market is dynamic and its regulatory are concerned, with record breaking addition of more framework needs to evolve in tandem with this. SEBI than 7.7 million folios, the mutual fund sector in India will continue to rationalize the regulatory framework continued to grow significantly during 2016-17 with net to make it contemporary and user friendly, without fund mobilization to the tune of ₹3.43 trillion during compromising on its over-arching objective of investor the year and AUM touching a record level of ₹17.55 protection. trillion as on March 31, 2017. Net investments by foreign portfolio investors (FPIs) were ₹484 billion (US$ 7.18 Policy refinements for expanding the geographical billion) during the same period with net investments of spread of the securities market in India will also ₹557 billion (US$8.75 billion) in equities and net sales of continue. Apart from enhancing investor awareness and ₹73 billion (US$1.15 billion) in bonds. improving access to the securities market, technology solutions will also be explored to achieve the objective During 2016-17, SEBI took several policy initiatives of scaling up delivery channels in the market including to further deepen the securities market in India. eKYC and online registration processes. Enhancing investor trust by strengthening governance norms, maintaining market integrity through effective Developing a liquid and vibrant corporate bond market supervision and enforcement actions, promoting ease further is an important agenda for enhancing the role of the Indian securities market in channelizing long term market and will explore widening its participants and finance. SEBI will work with all stakeholders for this. SEBI products to further deepen the commodity derivatives will also continue to facilitate resource mobilization from segment. the Indian securities market through various fund raising avenues – the primary market, alternative investment Market integrity is crucial for promoting confidence funds, REITs, InVITs and municipal bonds. Steps will also among market participants. SEBI will continue to be taken to further encourage the securities market as a strengthen market supervision through various steps source of risk capital for start-ups. such as Aadhar based identification of investors, effective market surveillance and monitoring of Developing the commodity derivatives market is one of compliances by regulated entities. Deterring, effective SEBI’s main agendas. SEBI will take necessary measures and timely enforcement
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