SEBI to enhance supervision on stock brokers

Last Updated: Tuesday, September 8, 2015, 16:31

The Securities and Exchange board of India (SEBI) is planning to enhance supervision on stock brokers after they defaulted on 20 billion rupees of investor fund.

Brokers get more time to give info on risk-based supervision

Last Updated: Monday, July 20, 2015, 23:08

Top bourses BSE and NSE Monday extended the deadline for brokers to submit necessary details for putting in place the new risk-based supervision model.

Cash market brokers' count halves in April

Last Updated: Thursday, June 4, 2015, 18:54

The number of stock brokers operating in the cash segment almost halved to 3,195 in April this year, while a dip was seen in the numbers of sub-brokers and that of brokers in equity and currency derivatives markets as well.

Sebi slaps Rs 3.3-cr fine on 59 entities in Richa Industries case

Last Updated: Wednesday, May 20, 2015, 17:59

Among the 59 entities, two stock brokers Cholamandalam Securities and Mangal Keshav Securities have been penalised Rs 7 lakh each for executing the fraudulent and manipulative trades on behalf of their clients belonging to their groups.

Brokers under scanner for moving investors' money abroad

Last Updated: Sunday, April 5, 2015, 16:10

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.

Brokers get more time to give info on risk-based supervision

Last Updated: Monday, December 29, 2014, 18:09

As stock market authorities prepare a new framework for risk-based supervision of various market entities, top exchanges BSE and NSE have extended the deadline for brokers to submit necessary details for putting in place this new model.

Strengthen investor grievance redressal mechanism: Sebi to cos

Last Updated: Thursday, December 18, 2014, 19:16

"All listed companies and Sebi registered intermediaries shall review their investors grievances redressal mechanism so as to further strengthen it and correct the existing shortcomings, if any," Sebi said in a circular.

SEBI to revisit policy on proprietary trading by brokers

Last Updated: Sunday, January 19, 2014, 16:35

To ring-fence small investors from any manipulation by brokers, market regulator SEBI is considering revisiting its policy on proprietary trades.

NSEL crisis: Over 30 brokers under regulatory scanner

Last Updated: Wednesday, December 4, 2013, 18:37

Among the 32 brokers, 14 are from Gujarat, seven from Rajasthan and others are from states like Maharashtra, Delhi, Andhra Pradesh and Punjab.

SEBI revises system audit guidelines

Last Updated: Wednesday, November 6, 2013, 20:17

Market regulator SEBI on Wednesday asked bourses to report all major non-compliances and observations by system auditors of stock brokers on a quarterly basis.

Sebi streamlines norms for stock brokers

Last Updated: Friday, September 27, 2013, 21:17

Capital market regulator Sebi Friday streamlined its norms for stock brokers including for their registration and payment of fees.

Sebi rejects consent settlement plea of SBI, 24 others

Last Updated: Friday, September 13, 2013, 16:01

Sebi has rejected state-run SBI's plea for settlement of an ongoing probe against the bank for alleged violations of various clauses of debenture trustee norms and code of conduct regulations.