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  • COVID fallout: Sebi may not allow brokers to work from home if call recording is not in place Apr 26, 2021 08:19 PM IST

    COVID fallout: Sebi may not allow brokers to work from home if call recording is not in place

    ANMI wants 16 other relaxations due to severe pandemic conditions; regulator is cautious about front running cases and unauthorised trade without client information, which does not favour investors.

  • Need for review of capital adequacy norms for stock brokers Dec 12, 2020 01:16 PM IST

    Need for review of capital adequacy norms for stock brokers

    To promote orderly growth of the industry, it’s an apt time to move towards a capital adequacy framework that acts as a good screening tool to ensure entry of credible entities in the capital markets.

  • Calls grow for BSE, NSE to be shut down, brokers say nothing to worry about Mar 24, 2020 02:31 PM IST

    Calls grow for BSE, NSE to be shut down, brokers say nothing to worry about

    Closing down a stock exchange would be disastrous for markets, it would mean a complete loss of reputation and confidence from a global standpoint, say experts.

  • NSE reduces quantum of penalty on stock brokers for 'abnormal trades' Jan 08, 2020 09:56 AM IST

    NSE reduces quantum of penalty on stock brokers for 'abnormal trades'

    The decision was taken following protest from trade bodies that were seeking a withdrawal of these fines citing impact on trade volume, market participants said.

  • SEBI may introduce early warning system to identify stock brokers who are potential defaulters Mar 21, 2018 05:35 PM IST

    SEBI may introduce early warning system to identify stock brokers who are potential defaulters

    The regulator also wants to build a mechanism for sharing details with exchanges, clearing corporation and depositories without any delay

  • D-Mart operator Avenue Supermarts to list on March 21 Mar 20, 2017 08:33 AM IST

    D-Mart operator Avenue Supermarts to list on March 21

    Owner of supermarket retail chain will list on the stock exchanges after having already raised Rs 561 crore from anchor investors; grey market premium seen higher

  • Details of brokers' associates need to be updated for BSE IPO Jan 18, 2017 01:14 PM IST

    Details of brokers' associates need to be updated for BSE IPO

    "While applying in the BSE IPO, applicants who fall within the category of associate/agent are required to confirm that their details of association with the trading member are updated in the BSE Electronic Filing System (BEFS) of the exchange," BSE said in a circular.

  • BSE asks brokers to submit client funding details for Dec Dec 30, 2016 04:14 PM IST

    BSE asks brokers to submit client funding details for Dec

    According to BSE norms, brokers have to provide information on amount funded as margin obligation on behalf of clients, funding related to settlement obligations for institutional and non-institutional clients, among others.

  • BSE asks brokers to furnish details of top personnel by Dec 26 Nov 29, 2016 08:32 AM IST

    BSE asks brokers to furnish details of top personnel by Dec 26

    The move comes after markets regulator Sebi, in September, had put in place an enhanced supervision framework for stock brokers.

  • BOOK EXCERPT: History of BSE and how share trading began in India Oct 29, 2016 03:45 PM IST

    BOOK EXCERPT: History of BSE and how share trading began in India

    Share trading in India may have been formally recognized in 1875 with the formation of the Native Share and Stock Brokers‘ Association of Bombay (now the Bombay Stock Exchange). But dealing in shares was prevalent as early as 1840, though there were only about half a dozen people who professed to be share brokers.

  • BSE enhances supervisory framework for stock brokers Oct 21, 2016 02:42 PM IST

    BSE enhances supervisory framework for stock brokers

    In order to monitor clients' funds lying with brokers, BSE has asked them to submit information, about aggregate fund balances available in all client bank accounts, including the settlement account, maintained by them across stock exchanges, on last trading day of every week to it.

  • Emkay Global settles case with Sebi Jun 06, 2015 02:37 PM IST

    Emkay Global settles case with Sebi

    Sebi had launched adjudication proceedings in April 2013 against Emkay Global Financial Services Ltd in a case relating to alleged violation of the Code of Conduct for Stock Brokers and the Sebi regulations for stock brokers and sub brokers. These related to Emkay's dealings in shares of Aarey Drugs and Pharmaceuticals Ltd.

  • Brokers under scanner for moving investors' money abroad Apr 05, 2015 06:28 PM IST

    Brokers under scanner for moving investors' money abroad

    At least five stock brokers have come under regulatory scanner for siphoning off securities and funds worth over Rs 500 crore from investor accounts for personal gains to foreign locations, including Switzerland and Singapore, as also for private ventures like running a spa.

  • Sebi earns Rs 391cr revenue during Apr-Feb this fiscal Mar 13, 2015 06:27 PM IST

    Sebi earns Rs 391cr revenue during Apr-Feb this fiscal

    The regulator reported a revenue of Rs 338.44 crore and Rs 335.74 crore during 2012-13 and 2011-12 respectively, as per an official document of Sebi.

  • Sebi notifies one-time registration system for brokers Oct 08, 2014 06:06 PM IST

    Sebi notifies one-time registration system for brokers

    The new regulations would replace the current practice of requiring separate registration certificate to trade in each stock exchange.

  • Sebi issues norms to simplify broker registration process Sep 30, 2013 07:51 PM IST

    Sebi issues norms to simplify broker registration process

    The new norms would do away with the current system that require stock brokers to get separate registration certificates from Sebi for every market segment they trade in, like equity, equity derivatives and currency derivatives.

  • NSEL fiasco: Brokers, portfolio managers under Sebi scanner Aug 06, 2013 01:36 PM IST

    NSEL fiasco: Brokers, portfolio managers under Sebi scanner

    They are being probed for inducing HNIs and other investors to trade on spot market commodity exchange with promise of high returns. They are also being investigated by Sebi for possible diversion of funds from equity and derivative portfolios for trading on NSEL through their own proprietary accounts or client accounts

  • NSE Done Deal: 2 finalists battle to represent their region Dec 31, 2012 05:32 PM IST

    NSE Done Deal: 2 finalists battle to represent their region

    CNBC-TV18 and National Stock Exchange (NSE) organized an all India dealers quiz contest as a team spirit initiative to appreciate the contribution of dealers and stock brokers towards developing Indian capital market.

  • Sebi suspends two broking entities for misleading investors Aug 30, 2012 08:27 PM IST

    Sebi suspends two broking entities for misleading investors

    Market regulator Sebi has suspended the registration of two stock brokers for making false statements regarding issue of bonus shares of Soundcraft Industries in an alleged attempt to mislead the investors.

  • New Delhi at 100: Different voices analyse Budget 2012 Apr 02, 2012 05:27 PM IST

    New Delhi at 100: Different voices analyse Budget 2012

    Take a look at this Budget special where we have brought on one platform different voices to give you a complete perspective.

  • Anil Ambani Group: seeking action against brokers Feb 11, 2011 12:18 PM IST

    Anil Ambani Group: seeking action against brokers

    Reliance ADA Group said on Friday it had identified stock brokers sending 'baseless sensational charges' against the group through emails, text messages and voice calls and was seeking regulatory investigation against them.

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