stockbrokers Archives

SEBI revises SEBI Stock Brokers Regulations 1992 exempting separate registration for participating in the tri-party repo segment

On 24-7-2023, the Securities and Exchange Board of India (‘SEBI’) notified the Securities and Exchange Board of India (Stock Brokers) (Second Amendment)

Legislation Updates Notifications

SEBI issues circular on Request for Quote; Stockbrokers can now bid on behalf of clients

On 19-10-2022, the Securities and Exchange Board of India (‘SEBI’) has issued a circular on Request for Quote (‘RFQ’) platform

Case Briefs Tribunals/Commissions/Regulatory Bodies

SEBI | Karvy denied the use of Power of Attorney for transfer of securities

Securities Exchange Board of India (SEBI): Anant Barua, Whole Time Member, denied KSBL’s request to permit the continuation of Karvy Stock Broking Limited

Case Briefs Tribunals/Commissions/Regulatory Bodies

SAT | Appellant told to approach SEBI for the payment of interest on the amount withheld for 13 years

Securities Appellate Tribunal, Mumbai: The Bench Tarun Agarwala, Presiding Officer and Dr C.K.G. Nair, Member disposed of the appeal with a direction