Compliance Requirements for Member-brokers

Bombay Stock Exchange Limited
In Mumbai

Rs 700
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Important information

  • Training
  • Mumbai
  • Duration:
    1 Day
Description

Important information
Venues

Where and when

Starts Location
On request
Mumbai
PHIROZE JEEJEEBHOY TOWERS DALAL STREET MUMBAI- 400001, 400001, Maharashtra, India
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Course programme

The training programme aims at educating the Member-brokers on a variety of rules, rules as well as procedures of BSE as well as SEBI regarding fulfillment requirements, to allow improved compliance. Member-brokers of BSE as well as their staff linked with the conformity purpose can do this course.PROGRAMME CONTENTS:1. Member-brokers Compliance with SEBI Rules, 1992, Rules, Bye-laws as well as Regulations of BSE, Notices, Circulars issued by BSE as well as SEBI2. Working of the Inspection branch of BSE3. Areas covered during a check up appraisal.4. Norms for obligation of fines as well as punishments.5. Compliance with other allied requirements of the Inspection Department. viz., Submission of Audit Report, Annual Accounts, Net Worth Certificate, Margin Certificate as well as Unique Client Code.Contact: Rakesh Bhatt

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