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
Securities and Exchange Board of India (Stock Brokers) Regulations, 2026 Chapter IV INSTITUTIONAL MECHANISM FOR PREVENTION AND DETECTION OF FRAUD OR MARKET ABUSE
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Accountability for stock brokers: governance bodies must enforce fraud-prevention and market-abuse detection measures. Regulation 26 designates the Audit Committee, the Board of Directors or persons of equivalent rank in the stock broker as responsible and accountable for ... Summary
Accountability for stock brokers: governance bodies must enforce fraud-prevention and market-abuse detection measures.
Regulation 26 designates the Audit Committee, the Board of Directors or persons of equivalent rank in the stock broker as responsible and accountable for enforcing the chapter's provisions, requiring those governance actors to implement and oversee compliance measures, controls and procedures for prevention and detection of fraud or market abuse.
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