All posts tagged "Stock Brokers"

BSEC Secures Pledge from Brokers to Support Stock Market

Merchant bankers also agreed to provide support. Listed companies were asked to form market-making subsidiaries. Bangladesh Bank amended its rules on calculating bank exposure limits.

SEBI Proposes Rules for Mutual Fund ‘Execution-only’ Platforms

Operators of platforms offering execution-only services in direct plans offered by mutual funds would have to register with SEBI, AMFI or stock exchanges.

SEBI Directs Brokers to Report Cyber Threats Within Six Hours

Quarterly reports must be issued containing information on cyber incidents, risk mitigation measures, bugs and vulnerabilities, and threat details.

SEBI Defers Deadline on Use of Pool Accounts for Fund Transactions

SEBI said AMFI has sought additional time for the implementation of directions that prohibit intermediaries from pooling investor money for mutual fund transactions.

SEBI Eases Norms on Mutual Fund Transactions by Investors

Norms prohibiting the use of one-time mandates to accept payments for mutual fund transactions have been eased.

SEBI to Raise Net Worth Requirements for Market Intermediaries

SEBI proposes to progressively raise the net worth requirements for trading members, clearing members and depository participants by October 2023.

SEBI Tweaks Guidelines for Exchanges on Market Maker Use

A one-year validity period is introduced for any board approval to introduce a liquidity enhancement scheme for a security, and removes a cap on how long it can be used.

SEBI Requires Intermediaries to Seek Approval for Change in Control

SEBI Rolls Out KYC Registry Extension to Legal Entities

Regulated entities are directed to upload KYC data for accounts of legal entities to the Central KYC Registry.

HKEX Probes for Rule Violations by Retail IPO Investors

Brokers involved in the New Horizon Health IPO have been asked to provide information on the retail investors who were allotted stocks.