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ANNUAL INSPECTION FOR BROKERS
Advit Jewels IPO booked over 6.5x on Day 1 so far; all categories oversubscribed; GMP signals 47% listing gainsJaipur's Advit Jewels is experiencing a robust IPO debut, with investor demand surging on day one, leading to a 6.75 times subscription. 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 permits joint inspections of stock brokers by Market Infrastructure InstitutionsSebi has permitted Market Infrastructure Institutions (MIIs) to conduct joint inspections of stock brokers, streamlining the process. This ...
- 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 refuses to disclose NSE inspection reports under RTIDenying the information, SEBI responded to RTI activist Subhash Agrawal that the information sought by him pertains to its internal functio...
- Sebi lens on fintech brokers for alleged violations of PEP normsSeveral fintech stockbrokers are under investigation by the Securities and Exchange Board of India (Sebi) for allegedly not adhering to the...
- 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...
- Karvy fallout: Brokers to face stricter scrutiny of accountsThe Securities and Exchange Board of India has asked exchanges to detect Karvy-like cases beforehand.
- PEPed-up Sebi steps up vigil before pollsAs per Sebi rules, it is mandatory for both brokerages, funds to capture the data of PEPs.
- Sebi plans to deploy technology to beef up surveillance activitiesThe regulator is looking to put in place new and advanced software tools to help in its monitoring of mutual funds and for sharing of infor...
- 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...
- Sebi issues inspection guidelines for brokersThe exchanges and clearing corporations have been asked to continuously assess the risks posed by their members.
- 380 market members violated anti-money laundering rules in FY15The regulator also noted that intermediaries were permitted to depend on third parties for carrying out due diligence of their clients.
- Bajaj Allianz ties up with Snapdeal to sell insurance for 2-wheelersThe annual two-wheeler motor insurance policy will be available only for new vehicles and later it will be rolled out for the used vehicles...
- Irda slaps Rs 35.3 lakh fine on India Infoline InsuranceIrda also fined the company for distributing free insurance to prospective customers, calling it "nothing but inducement."
- Kotak Securities fined Rs 10 lakhSEBI has imposed a fine of Rs 10 lakh on Mumbai-based brokerage Kotak Securities alleging repeated failure to maintain proper margin requir...
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