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Circular on Prevention of Unauthorised Trading by Stock Brokers

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....s with regard to Prevention of Unauthorised Trading by Stock Brokers prescribed by the following circulars: A. CIR/HO/MIRSD/MIRSD2/CIR/P/2017/108 dated September 26, 2017 B. CIR/HO/MIRSD/MIRSD2/CIR/P/2017/124 dated November 30, 2017 C. CIR/HO/MIRSD/MIRSD2/CIR/P/2018/109 dated January 11, 2018 Prevention of Unauthorised Trading by Stock Brokers II. SEBI in the past has taken several steps t....

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....through mobile phones, f. Any other legally verifiable record. When a dispute arises, the broker shall produce the above mentioned records for the disputed trades. However for exceptional cases such as technical failure etc. where broker fails to produce order placing evidences, the broker shall justify with reasons for the same and depending upon merit of the same, other appropriate evidences....

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....e kept till further intimation by SEBI. VII. The earlier circulars on the same subject mentioned in Para 1 of this Master Circular stand rescinded. VIII. This master circular shall continue to be effective from 1st April 2018. IX. The Stock Exchanges are directed to: a. bring the provisions of this circular to the notice of the Stock Brokers and also disseminate the same on their websites. ....

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