Search Results for Tag : brokers

News

Securities and Exchange Board of India Bars Transfer of Client Securities to Accounts of Brokers(26.02.2020)

Securities and Exchange Board of India has banned the transfer of client securities to Demat accounts of trading and clearing members. The Board furth.....

Tags : Securities and Exchange Board of India, Transfer of Client Securities to Accounts of Brokers

SEBI Relaxes Compliance Rules for Brokers(17.04.2020)

Securities and Exchange Board of India (SEBI) has relaxed compliance requirements for brokers by giving time until 31st May, 2020 for submitting repor.....

Tags : Securities and Exchange Board of India, Brokers Compliance Requirement

CESTAT: Attempt to Smuggle Prohibited Goods Cannot be Brushed Aside as Mere Violation of CBLR(09.06.2022)

Customs, Excise & Service Tax Appellate Tribunal (CESTAT), Chennai bench has held that an attempt to smuggle prohibited goods cannot be brushed aside .....

Tags : CESTAT, Customs Brokers Licensing Regulations, Smuggle

Securities and Exchange Board of India Refuses to Tweak New Rules in Meeting with Brokers(10.01.2020)

Securities and Exchange Board of India has refused to tweak its new regulations on margin requirements giving the bourses a month for implementation o.....

Tags : Securities and Exchange Board of India, Brokers

SEBI Introduces System to Detect Misuse of Client Securities by Brokers(14.02.2020)

Securities and Exchange Board of India has introduced a system to monitor and detect misuse of client securities by stockbrokers in the wake of Karvy .....

Tags : Securities and Exchange Board of India, Misuse of Client Securities by Brokers

Notifications & Circulars

Discontinuation of acceptance of cash by Stock Brokers(12.07.2018)

1. Please refer to SEBI circular SEBI/MRD/SE/Cir- 33/2003/27/08 dated August 27, 2003, regarding Mode of Payment and Delivery.

2. Government.....

Tags : Acceptance, Cash, Stock Brokers, Discontinuation

Training and examination for channels of insurance distribution harmonised(13.07.2016)

The Insurance Regulatory Development Authority of India took steps to streamline the training and examination of persons involved in selling and distr.....

Tags : Insurance, agent, brokers, training, examination, overlap

SEBI develops an online system for detecting misuse of clients' securities by brokers(13.02.2020)

In the recent past years, it has been observed that some brokers have misused clients' securities received as collateral to meet their own settlement .....

Tags : SEBI, Online system, Brokers

Circular regarding ease of doing business - Internet Based Trading for Stock Brokers(30.05.2024)

1. To improve ease of doing business and remove obsolete compliance requirements related to activities of Market Infrastructure Institutions (MIIs), i.....

Tags : Circular, Trading, Stock Brokers

Modification in Cyber Security and Cyber resilience framework for Stock Brokers/Depository Participants(07.06.2022)

1. SEBI vide circular SEBI/HO/MIRSD/CIR/PB/2018/147 dated December 03, 2018 prescribed framework for Cyber Security and Cyber Resilience for Stock Bro.....

Tags : Modification, Cyber Security, Stock Brokers

Existing regulations on insurance commissions and remuneration to continue(15.03.2016)

The Insurance Regulatory and Development Authority of India advised insurers, insurance intermediaries and insurance agents to continue complying with.....

Tags : Insurance, brokers, commission, remuneration

Computer based Examination under Regulation 6 of the Customs Brokers Licensing Regulations, 2018 (As Amended)(11.02.2019)

Reference is invited to the Notice dated 27.04.2018 and Corrigendum dated 11.12.2018 inviting applications for the Customs Brokers Examination to be c.....

Tags : Examination, Customs Brokers, Licensing Regulations