Display of Registered Broker Details required to be prominent across public portals and client communications to protect investors. Stock brokers must prominently display their name as registered with SEBI, their logo if any, registration number, complete address and telephone numbers on websites, notice/display boards, advertisements, publications, know-your-client forms and member-client agreements; and must include, in contract notes, statements of funds and securities and client correspondence, the broker's registered name and logo, registration number, complete address and telephone numbers, plus the compliance officer's name, telephone number and e-mail address. Exchanges must enforce, amend bye-laws, include inspections and report non-compliance annually.
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.
Display of Registered Broker Details required to be prominent across public portals and client communications to protect investors.
Stock brokers must prominently display their name as registered with SEBI, their logo if any, registration number, complete address and telephone numbers on websites, notice/display boards, advertisements, publications, know-your-client forms and member-client agreements; and must include, in contract notes, statements of funds and securities and client correspondence, the broker's registered name and logo, registration number, complete address and telephone numbers, plus the compliance officer's name, telephone number and e-mail address. Exchanges must enforce, amend bye-laws, include inspections and report non-compliance annually.
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