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.
A regulatory authority has mandated joint annual inspections of entities registered with multiple market infrastructure institutions (MIIs) to reduce operational disruptions caused by separate inspections. The policy requires coordinated inspections covering all segments, including stock broking, depository participant, and clearing activities, with MIIs sharing inspection information and designating a lead MII to initiate enforcement. Inspection criteria have been revised to prioritize entities with high penalties, investor complaints, arbitration cases, or high-risk scores, while others will be inspected at least once every three years. Special inspections may occur based on specific triggers regardless of prior inspection timing. MIIs must establish a joint standard operating procedure by November 1, 2025, and amend relevant regulations accordingly. This policy supersedes a prior circular and takes effect December 1, 2025, aiming to enhance supervision efficiency and investor protection in securities markets.
Note: It is a system-generated summary and is for quick reference only.
TaxTMI 
of 
Join Channel
TaxTMI 
