Stockbroker

Deposit Requirements for members of the Debt Segment

CIRCULAR CIR/MRD/DRMNP/37/2013                                           December 19, 2013 To All recognized Stock Exchanges and Clearing Corporations Dear Sir / Madam, Sub: Deposit Requirements for members of the Debt Segment 1. SEBI vide circular no CIR/MRD/DP/03/2013 dated January 24, 2013 prescribed guidelines for providing dedicated debt segment on stock exchanges. Subsequently, SEBI (Stock Brokers and Sub-Brokers) Regulations was amended to enable registration… Read More

Tags: BusinessClearing CorporationCorporationDebtJanuary 24 2013Proprietary tradingRegulationSecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Stock BrokerStock exchangeStockbroker

Disclosure of Investor Complaints on websites of Stock Exchanges

CIRCULAR CIR/MIRSD/11/2013 October 28, 2013 To All Recognized Stock Exchanges Dear Sir / Madam, Sub: Disclosure of Investor Complaints on websites of Stock Exchanges 1. Please refer to SEBI Circular no. MRD/DoP/SE/Cir-10/2009 dated September 03, 2009 on the captioned subject which inter alia prescribes the formats for disclosing the details of complaints lodged by clients/investors… Read More

Tags: CircleComplaintExchangeSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Stock exchangeStockbroker

SEBI Simplifies registration requirements for Stock Brokers

CIRCULAR CIR/MIRSD/8/2013 September 30, 2013 All Recognized Stock Exchanges and Clearing Corporations Dear Sir / Madam, Subject: Simplification of registration requirements for Stock Brokers 1. Please find enclosed the Notification No. LAD-NRO/GN/2013-14/25/24775 dated September 27, 2013 amending the SEBI (Stock Brokers and Sub-Brokers) Regulations, 1992 (hereinafter referred to as Broker Regulations). As per the amendment,… Read More

Tags: IndiaRegulationSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Stock BrokerStock exchangeStockbroker

Complinity Compliance Software

Complinity Compliance Software

Complinity Compliance Software

Corporate Law Referencer

Corporate Law Referencer

Corporate Law Referencer

Recent Articles

Recent Legal updates

Recent Gst Updates