Apr 26, 2021 08:19 PM IST
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.
- Dec 12, 2020 01:16 PM IST
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.
- Mar 24, 2020 02:31 PM IST
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.
- Jan 08, 2020 09:56 AM IST
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.
- Mar 21, 2018 05:35 PM IST
The regulator also wants to build a mechanism for sharing details with exchanges, clearing corporation and depositories without any delay
- Mar 20, 2017 08:33 AM IST
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
- Jan 18, 2017 01:14 PM IST
"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.
- Dec 30, 2016 04:14 PM IST
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.
- Nov 29, 2016 08:32 AM IST
The move comes after markets regulator Sebi, in September, had put in place an enhanced supervision framework for stock brokers.
- Oct 29, 2016 03:45 PM IST
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.
- Oct 21, 2016 02:42 PM IST
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.
- Jun 06, 2015 02:37 PM IST
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.
- Apr 05, 2015 06:28 PM IST
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.
- Mar 13, 2015 06:27 PM IST
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.
- Oct 08, 2014 06:06 PM IST
The new regulations would replace the current practice of requiring separate registration certificate to trade in each stock exchange.
- Sep 30, 2013 07:51 PM IST
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.
- Aug 06, 2013 01:36 PM IST
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
- Dec 31, 2012 05:32 PM IST
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.
- Aug 30, 2012 08:27 PM IST
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.
- Apr 02, 2012 05:27 PM IST
Take a look at this Budget special where we have brought on one platform different voices to give you a complete perspective.
- Feb 11, 2011 12:18 PM IST
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.