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        SEBI

        The circular mandates stock brokers to establish institutional...

        New Rules for Stock Brokers: Fraud Prevention, Detection, and Whistle-Blower Policies Required by 2026.

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                          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.
                                The circular mandates stock brokers to establish institutional mechanisms for preventing and detecting fraud or market abuse, as per Chapter IVA of the Securities and Exchange Board of India (Stock Brokers) (Amendment) Regulations, 2024. This includes systems for surveillance of trading activities and internal controls, obligations of brokers and employees, escalation and reporting mechanisms, and a whistle-blower policy. The Broker's Industry Standards Forum (ISF), in consultation with SEBI, will formulate implementation standards and operational modalities. The circular will be implemented in a risk-based, staggered manner, with effective dates ranging from January 1, 2025, to April 1, 2026, based on the number of active client codes. Qualified Stock Brokers (QSBs) must comply by August 1, 2024. Stock exchanges must notify brokers, amend relevant regulations, and report implementation status to SEBI.
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