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BROKER COMPLIANCE NORMS
Trackk enters broking as wealthtech startups chase Gen Z investorsGen Z-focused investment platform Trackk is now venturing into broking, offering equity and F&O trading. Shifting from its previous sub-bro...- Capital markets becoming a core avenue for household savings: Sebi chief Tuhin Kanta PandeySebi Chairman Tuhin Kanta Pandey said capital markets are becoming a key avenue for household savings and wealth creation, supported by ris...
- Sebi proposes major overhaul of derivatives rules to simplify compliance for exchangesIndia's market regulator Sebi is proposing significant changes to derivatives trading rules. The aim is to make compliance easier for stock...
- Centre allows 100% FDI in insurance via auto route"Foreign investment in this sector shall be subject to compliance with the provisions of the Insurance Act, 1938(4 of 1938), and the condit...
- Sebi simplifies requirements for grant of accreditation to AIF investorsSEBI simplified the accredited investor framework for AIFs, allowing agreements before certification, easing documentation norms and reduci...
- Sebi eases technical glitch norms for stock brokers, cuts compliance burden for smaller firmsSEBI revamped technical glitch norms for brokers, easing compliance by limiting applicability to firms with over 10,000 clients, simplifyin...
- Sebi approves new stock brokers' regulations to simplify compliance framework. 10 key takeawaysSebi has approved the Securities and Exchange Board of India (Stock Brokers) Regulations, 2025, replacing the 1992 framework to modernise b...
- Sebi extends deadline for brokers to file net worth certificate for margin tradingSecurities and Exchange Board of India has provided stock brokers with more time. They can now submit their net worth certificates. This ex...
- Sebi clarifies on position of compliance officer within company's hierarchyMarkets regulator Sebi on Tuesday clarified the term 'level' under disclosure regulations for listed entities, stating that it refers to th...
- Sebi penalises Reliance Securities for breach of normsCapital markets regulator Sebi on Friday slapped a monetary penalty of Rs 9 lakh on Reliance Securities for flouting market norms as well a...
- Sebi slaps Rs 4 lakh fine on Sharekhan for violation of stock brokers' normsSebi's investigation revealed that Sharekhan's Authorised Persons (APs) conducted trades from unregistered locations. Furthermore, in one c...
- New peak margin norms bring uncertainty for traders, brokersBrokers said traders are facing uncertainty over how much margins they must bring in at the time of initiating a trade in equity derivative...
- Sebi eases compliance norms for brokers, depository participantsBrokers have been give time till January 31 to submit report on cybersecurity and cyber resilience audit for half year ended on September 3...
- FPIs may hit pause on India F&O markets from tomorrowFrom Tuesday, market participants will be subject to peak margin reporting, which involves routine checks by clearing corporations associat...
- A new worry haunts FPIsThe new electronic invoicing system, taking effect from October 1, requires entities to upload the invoice details on the GST portal on a r...
- Sebi again eases compliance norms for brokersThis is the third instance when the regulator has extended the deadline for compliance.
- Govt seeks anti-money laundering compliance info from brokersAmid the crack down on shell companies, the Finance Ministry has sought detailed information with respect to stock brokers.
- 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.
- Irda slaps Rs 31 lakh fine on Canara HSBC OBC Life InsuranceThe insurer has accepted the delay in dispatch of policy documents arising out of internal processing/system related issues, Irda said.
- MCX told to penalise brokers for not collecting margin moneyCommodity bourse regulator Forward Markets Commission (FMC) has directed the Multi Commodity Exchange (MCX) to impose stringent penalties o...
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