https://www.taxtmi.com/circulars?id=57864 Policy requires mandatory inspections of members showing high risk indicators-such as repeated fund or margin disablements, significant reporting breaches, elevated investor complaints, or adverse internal audit findings-irrespective of prior inspection timing; mandates clearing activity oversight by Clearing Corporations, allows joint inspections, requires exchanges to adopt risk based selection policies, continuously reassess member risks, share inspection outcomes across exchanges for multi member brokers, and refer repetitive or serious violations to the regulator. en-us Fri, 30 Jun 2017 00:00:00 +0530 Sat, 01 Dec 2018 14:49:00 +0530 TaxTMI RSS Generator https://www.taxtmi.com/circulars?id=57864 Policy requires mandatory inspections of members showing high risk indicators-such as repeated fund or margin disablements, significant reporting breaches, elevated investor complaints, or adverse internal audit findings-irrespective of prior inspection timing; mandates clearing activity oversight by Clearing Corporations, allows joint inspections, requires exchanges to adopt risk based selection policies, continuously reassess member risks, share inspection outcomes across exchanges for multi member brokers, and refer repetitive or serious violations to the regulator. Circulars SEBI Fri, 30 Jun 2017 00:00:00 +0530 https://www.taxtmi.com/circulars?id=57864