Obligations with respect to prevention and detection of fraud or market abuse

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....shall maintain clearly documented policies and procedures relating to its surveillance systems and internal controls. (2) The stock broker shall define the roles and responsibilities of its directors, senior management, key managerial personnel, employees or authorised persons, the corrective actions to be taken and the guidelines for reporting of activities as specified under regulation ....

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....persons only. (7) The stock broker shall ensure that its trading terminal are used only at locations approved by recognised stock exchange and that such terminals shall not be used by its clients in any form or manner. (8) The stock broker shall establish and maintain documented processes and systems to detect potential mule accounts or suspicious activity. (9) Any emplo....