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STOCK BROKER OBLIGATIONS
Sebi asks stock brokers to put in place system for surveillance of trading activitiesIn the midst of a strong bull market, Sebi has introduced new guidelines for stock brokers aimed at preventing and detecting fraud and mark...04 Jul, 2024, 03.12 PM IST- Sebi proposes separating brokers from investors' moneyIn its consultation paper, Sebi said the proposed introduction of a blocking of funds facility for trading in secondary markets would allow...17 Jan, 2023, 08.18 PM IST
- Sebi puts in place framework to prevent misuse of clients' securities by brokers"Depositories, prior to executing actual transfer of the securities for pay-in from client demat account to TM Pool account, shall validate...19 Sep, 2022, 06.53 PM IST
- Sebi extends deadline to implement guidelines on instruction slips for share pledging"In view of the representation received from depositories and that the changes to the systems are still under process, it has been decided ...30 Jun, 2022, 06.38 PM IST
- Sebi issues fresh guidelines to curb misuse of clients' Power of AttorneyThe execution of the document -- Demat Debit and Pledge Instruction (DDPI) -- will also be applicable for pledging or repledging of securit...04 Apr, 2022, 06.31 PM IST
- T+1 settlement is here but why not T+0? Nithin Kamath explainsNot being able to withdraw funds for two days is the most asked question to Zerodha's customer support, company's founder Nithin Kamath in ...10 Nov, 2021, 04.35 PM IST
- Sebi levies Rs 90 lakh fine on 8 entities for fraudulent trading in RTS Power Corporation's scripBesides, certain other individuals had entered into the sham transactions with the defaulting clients who were related to them and aided th...18 Jun, 2021, 06.54 PM IST
- Sebi imposes Rs 90 lakh fine on Anugrah Stock and BrokingAccording to Sebi, there were 16 instances of incorrect reporting amounting to Rs 71.86 crore.09 Mar, 2021, 11.33 PM IST
- Sebi asks bourse, clearing corps to go hard on defaulting brokersThe recovery of assets would help in meeting the obligations of clients, stock exchanges and clearing corporations, the Securities and Exch...29 Sep, 2020, 07.43 AM IST
- Sebi slaps Rs 20 lakh fine on Bonanza PortfolioThe inspection report has shown a mismatch between the clients' funds available with the noticee and the total credit balance of clients, i...28 Sep, 2020, 04.45 PM IST
- NSE declares 3 brokers as defaulters; expels from membershipThe move has been taken as these brokers failed to comply with the NSE guidelines.14 Feb, 2020, 02.47 PM IST
- Karvy aftermath: Sebi may ban pool accounts for mutual fund transactionMF distributors are not expected to handle clients' funds and securities.24 Dec, 2019, 04.09 PM IST
- Sebi proposes to discontinue usage of pool accounts for mutual fund transactionSebi said instances have come to light where client's funds and securities were diverted towards margin obligations or settlement obligatio...24 Dec, 2019, 03.46 PM IST
- BSE asks brokers to consider excess cash for calculating investors' net obligationsBSE said that stock brokers were required to submit the system audit report for the period ended March 31, 2018.15 Jun, 2018, 03.45 PM IST
- BSE clarifies on client fund balance normsThe exchange has advised stock brokers to comply with this requirement.15 Jun, 2018, 10.47 AM IST
- BSE enhances supervisory framework for stock brokersIn order to monitor clients' funds lying with brokers, BSE has asked them to submit information, about aggregate fund balances available in...21 Oct, 2016, 02.50 PM IST
- Prime Broking to move Supreme Court against NSE armThe National Securities Clearing Corporation (NSCCL) had declared Prime Broking as defaulter for its failure to fulfill settlement obligati...02 Jul, 2015, 04.00 AM IST
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