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SEBI - Highlights / Catch Notes

Home Highlights November 2023 Year 2023 This

Most Important Terms and Conditions (MITC) - uniform documents ...


SEBI Issues Standardized Terms for Broker-Client Relationships to Ensure Clarity and Compliance in Financial Transactions.

November 14, 2023

Circulars     SEBI

Most Important Terms and Conditions (MITC) - uniform documents for formalizing the broker-client relationship - Circular

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  1. SEBI issued circular mandating standardized Most Important Terms and Conditions (MITC) for Research Analysts (RAs), effective immediately. RAs must disclose these terms...

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

  3. The CESTAT held that the Customs Broker did not violate Regulation 10(n) of CBLR by accepting IECs and GSTINs issued by government authorities. The Customs Broker's...

  4. Revocation of Customs Broker License - The Customs Broker is neither omniscient nor omnipotent. The Customs broker is not concerned with to ensure that the documents...

  5. Revocation of Customs Broker Licence - exporters were non-existent - The responsibility of the Customs Broker under Regulation 10(n) does not include keeping a...

  6. The SEBI circular provides the following key points regarding research analysts (RAs): 1. Eligibility criteria for part-time RAs, including restrictions on providing...

  7. SEBI issued a circular on Internet Based Trading (IBT) for stock brokers to enhance ease of doing business. Stock brokers must apply to the exchange for IBT service...

  8. SEBI mandates Investment Advisers (IAs) to incorporate standardized Most Important Terms and Conditions (MITC) into client agreements. IAs must accept only advisory...

  9. 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...

  10. Revocation of Customs Broker license - Regulation 10(n) requires the Customs Broker to verify correctness of Importer Exporter Code (IEC) number, Goods and Services Tax...

  11. The Securities and Exchange Board of India (SEBI) issued a Master Circular consolidating and updating all relevant circulars/directions issued to Stock Brokers till...

  12. The CESTAT ruled in favor of the appellant Customs Broker, setting aside the revocation of license and penalties. The Tribunal clarified that Regulation 10(n) of the...

  13. 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...

  14. Revocation of Customs Brokers’ licence - Non-existent exporters have also been filing GST returns with the department - The tribunal clarified that the Customs Broker's...

  15. The assessee, acting as a broker and intermediary, facilitated commodity transactions on the National Spot Exchange (NSEL) platform on behalf of clients. The...

 

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