Introducing the “In Favour Of” filter in Case Laws.
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Introducing the “In Favour Of” filter in Case Laws.
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of <h1>Stock brokers' management must implement strong surveillance to comply with SEBI regulations, preventing fraud and market abuse.</h1> Key managerial personnel and senior management of stock brokers are required to establish robust surveillance and internal control systems to ensure compliance with regulatory requirements set by the Securities and Exchange Board of India (SEBI) or stock exchanges. These systems aim to detect, prevent, and report potential fraud or market abuse involving clients, employees, or authorized persons. This requirement was introduced through a notification dated June 27, 2024, as part of the Securities and Exchange Board of India (Stock Brokers) Regulations, 1992.
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