All posts tagged "Stock Brokers"

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.

SEBI Penalises NSE, Former Officials in Colocation Case

SEBI says NSE failed to ensure fair and equitable access by trading members subscribing to its tick-by-tick data feed system.

SEBI Allows Exchanges to Penalise Excessive Algo Orders

On the third instance of the order-to-trade ratio exceeding 2000, trading members will be restricted from placing any orders for the first 15 minutes on the next trading day.

Sri Lankan Brokers Prohibited from Charging Interest on Margin Loans

The central bank has also suspended overseas investment and outward remittances by Sri Lankan residents, and cut interest rates for the second time in three weeks.

SEBI 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.

Singapore 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.

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.