All posts tagged "Stock Brokers"
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362IndiaSEBI to End Usage of Pool Accounts for Mutual Fund Transactions
SEBI found that trading and clearing members used by mutual funds were diverting client funds and securities to meet their own or third-party margin or settlement obligations.
December 26, 2019 -
1.0KMarket InfrastructureSingapore Brokers Experience DDoS-related Disruption
MAS said a small number of stock brokers encountered DDoS attacks last week, but only “limited disruption” resulted due to their mitigation services being activated.
November 1, 2019 -
684Fintech / Regtech
SEBI Instructs Brokers, Depository Participants to Report on AI, ML Systems
Stock brokers and depository participants will have to report information on systems based on artificial intelligence and machine learning.
January 7, 2019 -
583India
SEBI Issues Cybersecurity Framework for Brokers, Depository Participants
Stockbrokers and depository participants will have to formulate a comprehensive cyber security and cyber resilience policy document in accordance with the guidelines by April 2019.
December 4, 2018 -
433India
SEBI to Discontinue Sub-Brokers as Registered Market Intermediaries
Sub-brokers will no longer exist as a regulatory category at SEBI and will need to become trading members or authorised persons starting from 31 March 2019.
August 7, 2018 -
322India
SEBI Blocks Cash Payments To Stock Brokers
Stock brokers are no longer allowed cash payments either directly or deposited into their bank accounts, as India aims to promote digital payments and a cashless economy.
July 16, 2018 -
438India
India to Implement Early Warning System for Broker Defaults
SEBI consulting on draft measures on norms on early detection of potential default among stock brokers through an Intelligent and Specific Early Warning System.
March 26, 2018 -
409Asia-PacificBangladesh to Raise Capital Requirements on Stock Brokers, Merchant Banks
New capital requirements will be imposed on stock brokers, merchant banks, asset managers and institutional portfolio managers.
March 15, 2018
