NETWORTH AND DEPOSIT REQUIREMENTS FOR STOCK BROKERS/ CLEARING MEMBERS/ SELF- CLEARING MEMBERS - Securities and Exchange Board of India (Stock Brokers) Regulations, 2026
NETWORTH AND DEPOSIT REQUIREMENTS FOR STOCK BROKERS/ CLEARING MEMBERS/ SELF- CLEARING MEMBERS - Securities and Exchange Board of India (Stock Brokers) Regulations, 2026
Appointment of compliance officer: must monitor legal compliance, handle investor grievances and report non-compliance immediately. Every stock broker must appoint a compliance officer responsible for monitoring adherence to applicable securities laws, rules, regulations and exchange ... Summary
Appointment of compliance officer: must monitor legal compliance, handle investor grievances and report non-compliance immediately.
Every stock broker must appoint a compliance officer responsible for monitoring adherence to applicable securities laws, rules, regulations and exchange guidelines and for redressal of investor grievances, with an independent duty to report any observed non compliance immediately to the recognised stock exchange.
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