TaxTMI Login
Just a moment...
Press 'Enter' to add multiple search terms. Rules for Better Search
of 
of 
No Folders have been created
Are you sure you want to delete "My most important" ?
NOTE:
of of 
All Notifications
of of All Notifications
Note
Bookmark
Share
Don't have an account? Register Here
of <h1>SEBI Amends Stock Brokers Regulations 1992: New Measures for Fraud Detection, Surveillance Systems, and Whistleblower Policies.</h1> The Securities and Exchange Board of India (SEBI) has amended the Stock Brokers Regulations, 1992, introducing new measures to prevent and detect fraud and market abuse. The amendments establish an institutional mechanism requiring stock brokers to implement surveillance systems and internal controls. These systems must monitor trading activities, ensure compliance, and report suspicious activities. Stock brokers are also required to maintain know your client (KYC) systems, customize surveillance systems based on transaction complexity, and establish whistleblower policies. Regular reviews of these systems by senior management are mandated, with reports submitted to stock exchanges on a half-yearly basis.
TaxTMI 
TaxTMI 
