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STOCKBROKER COMPLIANCE
Sebi review to ensure broker net worth rules align with risk: Sebi ChiefSebi is revolutionizing the landscape for stockbrokers with updated regulations that align capital requirements with their operational scal...- All bets are off as SC’s GST ruling squeezes RMG companiesThe GST demand of Rs 92,000 crore on past transactions will also impact larger players such as Dream11, Junglee Games and Mobile Premier Le...
- PB Fintech invests Rs 5 crore in broking arm PB Marketing and ConsultingPB Fintech injected Rs 5 crore into its subsidiary, PB Marketing, to meet net worth requirements for stockbroking and depository participan...
- PB Fintech gets Sebi nod to operate as stockbroker in NSE debt segmentPB Fintech's subsidiary, PB Marketing and Consulting Private Limited, has secured regulatory approval from Sebi. This allows it to function...
- Design focus under ECMS; Kissht's strong IPO demandGovernment mulls mandating minimum design investment by firms under ECMS rules. This and more in today's ETtech Top 5.
- Mobikwik appoints Anis Pathan as chief risk officerIn a statement, the company said Pathan will lead the company’s enterprise risk management (ERM) framework, overseeing strategic, financial...
- 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 rationalises penalty framework for stockbrokers, removes 40 violations, reclassifies 105 as ‘financial disincentives’Market regulator Securities and Exchange Board of India (Sebi) has streamlined the penalty framework for stockbrokers, removing 40 violatio...
- Sebi moves to fix 'glitches' in online trading platform rulesSEBI is proposing changes to the framework for technical glitches in stockbrokers' online trading systems, excluding issues outside trading...
- Sebi launches unified compliance platform for brokers to boost ease of doing businessSEBI, in collaboration with NSE, has launched Samuhik Prativedan Manch, a unified reporting platform to simplify compliance for stockbroker...
- Sebi issues manual to streamline Industry Standards ForaSebi has introduced the Industry Standards Recognition Manual to guide the formation and operation of Industry Standards Fora, launched as ...
- Stockbrokers can ask you to submit income tax returns (ITR) to check PMLA violation; may lead to jail up to 7 years if guiltyIncome tax return: Stockbrokers can also ask for your ITR even if you gave one during the time of account opening. Tejas Khoday from FYERS ...
- Angel One chief growth officer Prabhakar Tiwari resignsThis comes after Pravin Bathe, the chief compliance officer at the firm, resigned a month ago. Earlier this year the firm's chief business ...
- How to open a demat account for minors, documents required and other things to keep in mindA parent can choose to open a demat account in the name of their minor son or daughter in order to gift them various securities like shares...
- Angel One barred from onboarding new Authorised Persons for 6 monthsAngel One, a leading broker in India, has been banned from onboarding new authorised persons (APs) for six months and fined Rs 1.66 crore f...
- Anmi urges Sebi to reduce mutual fund distributor registration charges for stockbroking public companyStockbrokers association Anmi has suggested markets regulator Sebi to reduce Amfi registration charges as mutual fund distributors under th...
- What technology charged up stock broking in the year of RobinhoodsBrokers are increasingly migrating to cloud-based systems to meet the spike in trading volumes and new account openings.
- Funds, securities worth Rs 2,300 crore settle in Karvy case: NSEEarlier, leading stock exchanges BSE and NSE in December last year had suspended the brokerage’s trading licence for all segments due to no...
- What to do if you are among the victims of Karvy Broking messKarvy Stock Broking allegedly pledged its clients shares to fund its real estate arm.
- Govt, Irani panel differ on lending norms for brokersBroking firms are unlikely to face additional regulatory checks as recommended by the JJ Irani committee as well as the government’s concep...
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