Liability for prosecution exposes brokers to criminal prosecution for specified securities market violations. Liability for prosecution attaches to a stock broker for specified offences, including dealing without Board registration; dealing or facilitating trading ... Summary
Liability for prosecution exposes brokers to criminal prosecution for specified securities market violations.
Liability for prosecution attaches to a stock broker for specified offences, including dealing without Board registration; dealing or facilitating trading outside recognized exchanges in breach of the securities contract regime; market manipulation; insider trading; fraudulent or unfair trade practices; and failure without reasonable cause to produce documents, appear or cooperate with investigation, or to comply with adjudicating officer penalties or directions.
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