Regulation 21 - Systems for surveillance of trading activities and internal controls
Securities and Exchange Board of India (Stock Brokers) Regulations, 2026 Chapter IV INSTITUTIONAL MECHANISM FOR PREVENTION AND DETECTION OF FRAUD OR MARKET ABUSE
📋
Contents
Cases Cited
Referred In
Notifications
Circulars
Forms
Manuals
Acts
Rules & Regulations
Case Laws New
Ref Provisions New
Plus +
Source NTF
Summary
Similar
Note
Bookmark
Share
✓ Copied successfully !
Print
Print Options
For full text, please login
Login to TaxTMI
Verification Pending
The Email Id has not been verified. Click on the link we have sent on
Stock broker systems for surveillance and internal controls to detect, prevent and report potential fraud or market abuse. Regulation 21 mandates that stock brokers implement adequate systems for surveillance of trading activities and internal control systems to detect, prevent and report potential fraud or market abuse by clients, directors, senior management, key managerial personnel, employees or authorised persons, ensuring compliance with the applicable regulatory requirements.
Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
Provisions expressly mentioned in the judgment/order text.
Stock broker systems for surveillance and internal controls to detect, prevent and report potential fraud or market abuse.
Regulation 21 mandates that stock brokers implement adequate systems for surveillance of trading activities and internal control systems to detect, prevent and report potential fraud or market abuse by clients, directors, senior management, key managerial personnel, employees or authorised persons, ensuring compliance with the applicable regulatory requirements.
Full Summary is available for active users!
Note: It is a system-generated summary and is for quick reference only.