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Sebi guidelines for stock brokers: >> http://unz.cloudz.pw/download?file=sebi+guidelines+for+stock+brokers << (Download)
Sebi guidelines for stock brokers: >> http://unz.cloudz.pw/read?file=sebi+guidelines+for+stock+brokers << (Read Online)
3 Jul 2017 Other activities of stock brokers shall be inspected by stock exchanges. "If stock exchanges and clearing corporations so desire, they can conduct joint inspections of stock brokers. Where clearing corporation has not been set up, stock exchange shall inspect all activities of stock brokers including activity of
5 days ago Capital market regulator SEBI (Securities and Exchange Board of India) on Friday made changes in the stock brokers and sub-brokers norms. These regulations—called SEBI (Stock Brokers and Sub-Brokers) (Second Amendment) Regulations, 2013—would come into force after their publication in the official gazette.
Items 10 - 18 Every Broker & Sub- broker has to adhere to the code of conduct at all time being a member of Exchange as per the Rules,. Regulations & Bye-Laws of ISE and SEBI. Who is a Stock Broker? “Stock broker" means a Trading Member of a stock exchange and registered with SEBI as such under the SEBI (Stock
Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) (Amendment) Regulations, 2017. Jul 13, 2017. |. Regulations. Thumbnails Document Outline Attachments. Find: Previous. Next. Highlight all. Match case. Presentation Mode Open Print Download Open PDF. Go to First Page Go to Last Page.
In exercise of the powers conferred under section 30 of the Securities and Exchange Board of India Act, 1992 (15 of 1992), the Securities and Exchange Board of India hereby, makes the following regulations to further amend the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers) Regulations, 1992,
The client shall invest/trade in those securities/contracts/ other instruments admitted to dealings on the. Exchanges as defined in the Rules, Byelaws and. Regulations of Exchanges/ Securities and Exchange. Board of India (SEBI) and circulars/notices issued there under from time to time. 2. The stock broker, sub-broker and
Penalties as specified under Chapter V of the Securities and Exchange Board of India (Intermediaries) Regulations, 2008 including suspension or cancellation of certificate of registration as a stock broker or a sub-broker, 229 Regulation 25 of the SEBI (Stock brokers and Sub brokers) Regulations, 1992 Page 14 215 iii.
RIGHTS AND OBLIGATIONS OF STOCK BROKERS, SUB-BROKERS AND CLIENTS as prescribed by SEBI and Stock Exchanges. 1. The client shall invest/trade in those securities/contracts/other instruments admitted to dealings on the Exchanges as defined in the Rules, Byelaws and Regulations of Exchanges/Securities
4 Omitted by the SEBI(Change in Conditions of Registration of Certain Intermediaries)(Amendment). Regulations,2011, w.e.f. 19-04-2011. Prior to omission, clause (ab) read as under: ?change of status or constitution? in relation to a stock broker or a sub-broker means any change in its status or constitution of whatsoever
SCHEDULE II SECURITIES AND EXCHANGE BOARD OF INDIA (Stock Brokers and Sub-Brokers) Regulations 1992. CODE OF CONDUCT FOR STOCK BROKERS (Regulation 7). A. GENERAL (1) Integrity : A stock-broker, shall maintain high standards of integrity, promptitude and fairness in the conduct of all his business.
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