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SEBI - Highlights / Catch Notes

Home Highlights July 2023 Year 2023 This

Implementation of circular on upstreaming of clients’ funds by ...


New Guidelines for Stock Brokers on Upstreaming Client Funds to Clearing Corporations: Ensuring Transparency and Security.

July 1, 2023

Circulars     SEBI

Implementation of circular on upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs) - Circular

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  1. The circular amends the guidelines regarding uploading of mobile numbers and email addresses by stock brokers for sending SMS and email alerts to investors. Under...

  2. This circular amends the requirement under Chapter 1 at Para 4.3.3.1 of the SEBI Master Circular (Stock Exchanges and Clearing Corporations) dated October 16, 2023,...

  3. SEBI issued a circular mandating direct payout of securities to client demat accounts for operational efficiency and risk reduction. The circular, effective from October...

  4. Circular mandates qualified stock brokers to provide facility of trading supported by blocked amount in secondary market using UPI block mechanism or 3-in-1 trading...

  5. Modification in Cyber Security and Cyber Resilience framework of Stock Exchanges, Clearing Corporations and Depositories - Circular

  6. Cyber Security and Cyber Resilience framework of Stock Exchanges, Clearing Corporations and Depositories

  7. Cyber Security and Cyber Resilience framework of Stock Exchanges, Clearing Corporations and Depositories

  8. Investment Policy of Clearing Corporations - it has been decided to permit the Clearing Corporations to make investments in Overnight Funds

  9. Risk-based capital and net worth requirements for Clearing Corporations under Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018

  10. Securities Exchange Board of India granted renewal of recognition to National Commodity Clearing Limited as clearing corporation for three years from September 10, 2022...

  11. The circular mandates stock brokers to establish institutional mechanisms for preventing and detecting fraud or market abuse, as per Chapter IVA of the Securities and...

  12. Securities payout timing revised from 1:30 PM to 3:30 PM under T+1 rolling settlement. Clearing Corporations to credit securities directly to client demat accounts on...

  13. Guidelines for seeking NOC by Stock Brokers / Clearing Members for setting up Wholly Owned Subsidiaries, Step Down Subsidiaries, Joint Ventures in GIFT IFSC - Circular

  14. Revocation of a customs broker's license and imposition of penalty under the Customs Brokers Licensing Regulations, 2018. The key points are: The finding that the...

  15. Short deduction / collection of Security Transaction Tax (STT) - Liability of National Stock Exchange (NSE) - On occasions where client codes for institutional trades...

 

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