Enhanced obligations and responsibilities for qualified stock brokers

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Full Text of the Document

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....to its size and scale of operations, likely impact on investors and securities market, as well as governance and service standards, on the basis of the following parameters and the appropriate weightages thereon: - a) the total number of active clients; b) the available total assets of clients with the stock broker; c) the trading volumes of the stock broker; d) the end of day margin oblig....