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Modification of client codes of non-institutional trades executed on stock exchanges (All Segments)

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Full Text of the Document

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....ock exchanges (All Segments) SEBI had issued circular CIR/DNPD/6/2011 dated July 05, 2011 pertaining to client code modifications of non-institutional trades on stock exchanges. 2. Upon receipt of various representations from stock brokers and stock exchanges to review the penalty structure specified in the aforementioned circular, it has been decided to partially modify the circular as under: ....

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Full Text of the Document

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....e modifications where penalties have been waived. 3. Stock exchanges shall undertake stringent disciplinary actions against stock brokers who undertake frequent client code modifications. 4. All other conditions as specified in the SEBI Circular dated July 05, 2011 remain unchanged. 5. Stock Exchanges and Clearing Corporations are directed to: a) take necessary steps to put in place systems f....

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