https://www.taxtmi.com/circulars?id=57816 SEBI's Master Circular consolidates requirements for stock broker registration, uniform client onboarding via UCC/KYC/CKYCR (including SARAL AOF and Aadhaar/e-KYC on voluntary consent), and a risk-based supervisory regime requiring periodic internal/system audits, naming/tagging and reporting of bank/demat accounts, routine uploads of client fund and securities balances, automated reconciliation alerts to detect client fund misuse, and detailed controls for algorithmic trading, software change management, BCP/DR and auditor rotation. en-us Fri, 01 Jun 2018 00:00:00 +0530 Fri, 30 Nov 2018 12:33:00 +0530 TaxTMI RSS Generator https://www.taxtmi.com/circulars?id=57816 SEBI's Master Circular consolidates requirements for stock broker registration, uniform client onboarding via UCC/KYC/CKYCR (including SARAL AOF and Aadhaar/e-KYC on voluntary consent), and a risk-based supervisory regime requiring periodic internal/system audits, naming/tagging and reporting of bank/demat accounts, routine uploads of client fund and securities balances, automated reconciliation alerts to detect client fund misuse, and detailed controls for algorithmic trading, software change management, BCP/DR and auditor rotation. Circulars SEBI Fri, 01 Jun 2018 00:00:00 +0530 https://www.taxtmi.com/circulars?id=57816