Submit risk-based supervision info by Nov 30: Bourses to brokers
The submission would have to be made only via electronic mode and physical copies are not required to be submitted to the exchanges.
Oct 01, 2017, 11:02 AM IST
Sebi issues inspection guidelines for brokers
Markets regulator Sebi on Monday came out with annual inspection guidelines for brokers to improve the effectiveness of supervision.
Jul 03, 2017, 19:57 PM IST
NSE asks brokers to submit net worth certificate by May 31
Leading bourse National Stock Exchange (NSE) has asked brokers to submit net worth certificate in electronic format for the half-year ended March 31, by the end of this month.
May 24, 2017, 17:16 PM IST
JLLR to hire 650 housing brokers, invest Rs 150 crore this year
Property consultant Jones Lang LaSalle Residential (JLLR) will hire about 650 professional brokers and invest about Rs 150 crore this year to expand its presence in both offline and online housing brokerage market.
May 21, 2017, 12:40 PM IST
Sebi issues fresh showcause notice to brokers in NSEL case
Multiple agencies including Sebi are probing the irregularities that happened at the now-defunct National Spot Exchange Ltd.
Apr 28, 2017, 15:12 PM IST
BSE asks brokers to submit clients' funding details for February
Leading stock exchange BSE has asked brokers operating in the cash segment to submit funding details of clients for February on its electronic filing system.
Mar 01, 2017, 18:15 PM IST
Sensex slips 133 points in early trade lead by banking heavyweights
The BSE benchmark Sensex fell over 133 points and the Nifty slipped below the 8,100-mark in early trade today as banking stocks led fall on fresh selling amid mixed Asian cues.
Nov 28, 2016, 10:21 AM IST
Brokers can't hire celebrities to endorse prize money schemes
Top stock exchanges BSE and NSE have barred brokers from engaging celebrities to endorse schemes involving distribution of prize money and asked them to withdraw advertisements, if any, with immediate effect.
Aug 14, 2016, 12:08 PM IST
JLL partners brokers network platform BroEx to sell homes
BroEx, a mobile-based property brokers network, has tied up with real estate consultant JLL India's housing arm for getting access to exclusive deals
Mar 25, 2016, 17:19 PM IST
SEBI bars 22 brokers for 'tax evasion' trades of Rs 8,100 crore
Continuing its crackdown on misuse of stock exchange system for tax evasion, regulator SEBI Wednesday barred 22 brokers from securities market for executing 'reversal trades' worth over Rs 8,100 crore to generate fictional profits or losses.
Feb 17, 2016, 23:06 PM IST
Sebi asks exchanges to crack down on frivolous trades
To tackle the menace of freak and erroneous trades, markets regulator Sebi on Thursday asked stock exchanges to penalise brokers placing erroneous orders and discourage the annulment requests.
Jul 16, 2015, 17:46 PM IST
Brokers under scanner for moving investors' money abroad
Interestingly, all the five brokers are based in the national capital region and at least two of them have already faced market regulator Sebi's ire for various discrepancies.
Apr 05, 2015, 16:10 PM IST
Brokers found to be short-changing investors; to face Sebi ire
Sebi has now decided to thoroughly look into the matter to ensure that investors are not taken for a ride and their grievances are addressed effectively, a senior official said.
Mar 15, 2015, 14:38 PM IST
Submit associate members' details by Feb-end: NSE to brokers
Leading bourse National Stock Exchange (NSE) has asked brokers to submit details of its associate members by the month-end as part of market regulator Sebi's new risk management regime.
Feb 23, 2015, 14:28 PM IST
Sebi plans profiling of major investors to boost surveillance
This follows Sebi having put in place mechanisms for risk profiling of the brokers and listed companies so as to understand the associated risk.
Feb 15, 2015, 11:46 AM IST
Sebi's new mechanism to allow one-time registration for DPs
Making procedural requirements simpler for brokers, Sebi on Tuesday put in place a new mechanism to allow one-time single registration for the depository participants.
Dec 30, 2014, 18:59 PM IST
Brokers may face joint-inspection by stock exchanges
To put in place a more effective system for monitoring brokers so as to check unfair trade practices and frauds, capital markets regulator SEBI is mulling over a proposal to allow stock exchanges to conduct 'joint inspection' of their members.
Oct 26, 2014, 13:08 PM IST
FTIL opposes merger of NSEL with itself
FTIL on Tuesday opposed the merger of scam-hit NSEL with itself as proposed by regulator FMC for speedy recovery of dues.
Sep 16, 2014, 19:13 PM IST
Sebi to propose one time registration system for brokers
Seeking to simplify procedural requirements, Sebi proposes to have one-time registration process for stock brokers and clearing entities that would allow them to operate across bourses.
Aug 08, 2014, 19:09 PM IST
Brokers step up hiring as bulls fire up markets
The new found euphoria in stocks has helped the brokerages consider ramping up headcount as volumes doubled in a short time and indices vaulted to records.
Jun 15, 2014, 11:31 AM IST
