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SEBI INSPECTION FRAMEWORK
NSE flags regulatory, tech, AI, derivatives concentration risks in IPO papersThe National Stock Exchange raises a red flag regarding substantial financial and operational threats. Emerging regulatory frameworks, tech...- NSE EGR: Is your digital investment backed by physical gold? 5 major questions answeredThe National Stock Exchange of India has introduced Electronic Gold Receipts, offering investors a new way to own gold digitally. Each EGR ...
- SMC Bill could serve as model for regulatory governance across financial sectors: SurveyA new Securities Markets Code Bill aims to modernize financial oversight. This proposed legislation could influence regulatory governance a...
- Sebi notifies revamped stock brokers’ rules as part of ease of doing businessSEBI has revamped stock broker regulations, allowing them to operate under other financial regulators to enhance ease of doing business. Th...
- Sebi doubles broker inspections, sharp rise in oversight of investment advisers, research analysts in FY25Markets regulator Sebi has significantly ramped up its surveillance and enforcement efforts in FY25, carrying out 312 inspections of stock ...
- Sebi plans to demystify draft offer documents, simplify regulatory framework for FPIsMarkets regulator Sebi plans to simplify the offer document preparation process by introducing a template-based approach for relevant secti...
- Sebi introduces joint inspection framework for brokers, DPsMarkets regulator Sebi on Thursday mandated a unified annual inspection for stock brokers and depository participants to be conducted joint...
- Sebi eases norms for stock brokers to operate from GIFT city, abolishes separate NOC requirementMarkets regulator Sebi on Friday allowed stock brokers to operate in the International Financial Services Centre (IFSC) at GIFT City, witho...
- Sebi slaps Rs 12 lakh fine on NSE Data And AnalyticsIn its order, Sebi noted irregularities with respect to the backup of records and details of the Business Continuity Plan/Disaster Recovery...
- Sebi wants say in inspections; RBI yet to relentEfforts are on to find a middle ground in the negotiations with the European Securities and Markets Authority (ESMA) which has derecognised...
- Sebi doing inspection of Invesco’s debt fundsThe whistle-blower has flagged violations of the mutual fund regulations with Sebi and also filed a complaint with the US SEC (Securities E...
- Sebi looks to implement project on automation of inspection, surveillance of MFsThe Securities and Exchange Board of India (Sebi) is eyeing a major technological leap in its surveillance and investigation functions.
- Sebi looks to implement project on automation of inspection, surveillance of MFsThe Securities and Exchange Board of India (Sebi) is eyeing a major technological leap in its surveillance and investigation functions.
- Sebi plans to introduce framework to compensate investors for technical glitchesFurther, to improve the efficacy of liquidity enhancement measures such as market making, Liquidity Enhancement Scheme (LES) and call aucti...
- Sebi imposes Rs 8 lakh penalty on India Advantage SecuritiesDuring an inspection of the broker carried out on October 29-30 and November 2-3 in 2018, Sebi observed certain irregularities with respect...
- Sebi mulls measures to prevent misuse of clients' securitiesThe move comes amid several instances have been reported about misuse of clients' securities by stock brokers.
- Sebi steps up surveillance on money laundering activitiesThe capital markets watchdog has also enhanced its cooperation with other regulators and agencies in India as well as abroad for investigat...
- Depositories to set up risk management framework in 3 monthsAiming to mitigate risks in the nation's depository system, capital market regulator Sebi today asked depositories to put in place a compre...
- ISIS in fresh Sebi missive on caution against terror outfits"Members are advised to take note of the above and ensure compliance with the same," BSE said while enclosing the updated lists of sanction...
- India needs strong framework for financial conglomerates: IMFThe IMF has asked Indian regulators such as Sebi and RBI to put in place a strong coordination framework to deal with possible failures.
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