Stock Broker

Broking stocks higher as Sebi consultation paper seeks to revamp regulation, ease compliance burden

The consultation paper has proposed to focus on reducing compliance costs for stock brokers while balancing investor protection.

Brokerages’ referral programmes to make a comeback, SEBI to propose norms soon: Sources

The referral partner programme had largely come to a standstill following regulatory directives; brokerages had made representations to the regulator to reconsider restrictions.

SEBI fines broker FYERS Rs 4 lakh for violating peak-load and disaster recovery norms

The regulator issued an order on February 13

Axis Securities pays Rs 14.62 lakh to settle allegations of violation of Stock Brokers Regulations

The broker had been sent a showcause notice after SEBI's investigations prima facie showed that its dealer and an associate had front run trades of a big client

Angel One's authorised person found to be sharing office with illegal advisory; broker fined Rs 6 lakh

The order said that the broker had failed to exercise due diligence over conduct of its AP

Sebi fines Anand Rathi for various violations, including not settling funds of inactive clients

In an order dated September 30, the regulator directed the brokerage to pay a fine of Rs 10 lakh

Sebi fines Nirmal Bang for violation done by brokerage's authorised person

In the order issued on September 30, the regulator noted various violations by the authorised person, including not maintaining evidence of client order placement

Odd defence: Brokerage says zero earnings, 'only paying fees and penalties'; seeks leniency from Sebi

In its order, the regulator said that the financial condition or future business plan are of no concern when deciding on established violations

Samco Securities faces penalty for 3rd time in 3 years, latest of Rs 2.5 lakh

In the latest order, the SEBI fined the broker for discrepencies during client onboarding and not submitting data to the market regulator's inspection team

19 entities, 2 Telegram channels pumps up stock price by 100% in 8 months; Sebi fines Rs 11.9 cr

According to the regulator's order, the entire buying that led to the price-rise was being financed through two firms--a non-banking finance company (NBFC) Superior Finlease and stock broker Indian Finance Guaranty Ltd (IFGL)--where Rajneesh Kumar was the director

'Peculiar' trades by Broker's MD cost him Rs 70 lakh loss in a day; Sebi fines Rs 8 lakh for price manipulation

In a May 22 order, Sebi fined him and the brokerage Rs 8 lakh in total for violating Sebi (Probition of Fraudulent and Unfair Trade Practices relating to Securities Market) Regulations and Broker Regulations

Blatant mistake: Zerodha on BSE panel order that brokerage inaction led to tech issue

The brokerage had to pay compensation to a trader who incurred losses due to the tech issue

Tech glitch on broker platform? Investors can access exchanges-run service from October 3

The platform will provide the service called Investor Risk Reduction Access, through which investors can square off or exit their positions when they face technical glitches on the broker platform

Broker commits 'flagrant' violations and then ‘ghosts’ SEBI

Regulator has found the firm in violation of all seven allegations made and cancelled the registration

Sebi slaps Rs 1.5 lakh fine on Triveni Management

Market regulator Sebi today slapped a fine of Rs 1.5 lakh on Triveni Management Consultancy Services for allegedly not complying with norms related to dealings between client and stock broker.

Sebi to regulate trading through co-location systems

With an aim to avoid any undue benefits to certain brokers due to physical proximity of their systems with that of the bourses, Sebi on Friday proposed to bring in parity between the brokerages operating through systems placed within exchange premises and those at other locations.