https://www.taxtmi.com/circulars?id=66375 Master Circular consolidates SEBI directives for stock brokers, superseding earlier circulars and prescribing: single registration across exchanges/clearing corporations; registration, conversion, merger and transfer rules; mandatory online application processing and document freshness; annual and risk triggered inspections, half yearly internal audits and system audits; standardized naming/tagging and reporting of bank and demat accounts; weekly and monthly uploads of client funds/collateral/securities for alerting; client onboarding standardization including UCC demat mapping, nomination and running account rules; segregation and handling of client funds and collateral; cyber security, system audit and QSB enhanced governance and continuity requirements. en-us Wed, 17 May 2023 00:00:00 +0530 Fri, 09 Jun 2023 10:57:00 +0530 TaxTMI RSS Generator https://www.taxtmi.com/circulars?id=66375 Master Circular consolidates SEBI directives for stock brokers, superseding earlier circulars and prescribing: single registration across exchanges/clearing corporations; registration, conversion, merger and transfer rules; mandatory online application processing and document freshness; annual and risk triggered inspections, half yearly internal audits and system audits; standardized naming/tagging and reporting of bank and demat accounts; weekly and monthly uploads of client funds/collateral/securities for alerting; client onboarding standardization including UCC demat mapping, nomination and running account rules; segregation and handling of client funds and collateral; cyber security, system audit and QSB enhanced governance and continuity requirements. Circulars SEBI Wed, 17 May 2023 00:00:00 +0530 https://www.taxtmi.com/circulars?id=66375