Sebi stock brokers and sub-brokers regulations 2016

Sebi stock brokers and sub-brokers regulations 2016

Posted: Alex Tanchik Date of post: 10.07.2017

These regulations may be called the Securities and Exchange Board of India Stock Brokers and Sub-Brokers Amendment Regulations, They shall come into force on the 28th day of September, In the Securities and Exchange Board of India Stock Brokers and Sub-Brokers Regulations, ,—.

sebi stock brokers and sub-brokers regulations 2016

I in regulation 2, in sub-regulation 1 , —. Provided that such a clearing member in commodity derivatives exchange shall be required to become a member of a recognised clearing corporation from such date as may be specified by the Board.

Provided that such person who clears and settles trades in commodity derivatives, shall be required to become a member of a recognised clearing corporation, from such date as may be specified by the Board. II in Chapter II-A, after Regulation 10D, the following regulations shall be inserted, namely: The provisions of Chapters IV, V and VI of these regulations shall mutatis mutandis apply to a clearing member and self-clearing member.

Provided that for a person dealing in commodity derivatives as a commodity derivatives broker, clearing and settling trades as a commodity derivatives clearing member or self-clearing member, immediately before the transfer and vesting of rights and assets of the Forward Markets Commission with the Securities and Exchange Board of India, this Schedule shall apply, upon grant of registration by the Board, the computation of fee being with effect from the date of notification of transfer and vesting of rights and assets of the Forward Markets Commission with the Securities and Exchange Board of India.

V in Schedule V, in Part B, in clause 3, in sub-clause 1 , —.

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The non-refundable fee payable along with an application for registration under sub- regulation 4 of regulation 3 or sub-regulation 4 of regulation 10A shall be a sum of fifty thousand rupees:. Provided that the non-refundable fee payable along with an application for registration, by a person dealing, clearing and settling trades, on a national commodity derivatives exchange or regional commodity derivatives exchange, immediately before the transfer and vesting of rights and assets of the Forward Markets Commission with the Securities and Exchange Board of India, shall be a sum of twenty-five thousand rupees or five thousand rupees, respectively.

VII in Schedule V, in Part C, in clause 5, —. The quantum of networth and deposit to be maintained by-.

SEBI: The Purpose, Objective and Functions of SEBI

Provided that a person dealing in commodity derivatives as a commodity derivatives broker, clearing and settling trades as a commodity derivatives clearing member or self-clearing member, immediately before the transfer and vesting of rights and assets of the Forward Markets Commission with the Securities and Exchange Board of India, shall maintain the networth and deposit as specified by the commodity derivatives exchange, of which it holds membership: Provided further that within a period of one year from the date of transfer and vesting of rights and assets of the Forward Markets Commission with the Securities and Exchange Board of India, such persons shall satisfy the networth and deposit as specified in Table 2 of this Schedule.

Securities and Exchange Board of India Stock Brokers and Sub-Brokers Regulations, , the Principal Regulations, was published in the Gazette of India on October 23, vide S.

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