{"id":277447,"date":"2022-11-14T09:00:31","date_gmt":"2022-11-14T03:30:31","guid":{"rendered":"https:\/\/www.scconline.com\/blog\/?p=277447"},"modified":"2022-11-14T09:00:31","modified_gmt":"2022-11-14T03:30:31","slug":"sebi-modifies-circular-on-handling-of-clients-securities-by-trading-members-clearing-members","status":"publish","type":"post","link":"https:\/\/www.scconline.com\/blog\/post\/2022\/11\/14\/sebi-modifies-circular-on-handling-of-clients-securities-by-trading-members-clearing-members\/","title":{"rendered":"SEBI modifies circular on Handling of Clients\u2019 Securities by Trading Members\/ Clearing Members"},"content":{"rendered":"<div style=\"line-height: 150%;\">\n<p style=\"text-indent: 18pt;\">&#160; &#160;<\/p>\n<p style=\"text-indent: 18pt; margin-bottom: 3%;\">\n<p style=\"text-indent: 18pt; margin-bottom: 3%;\">On 11-11-2022, the Securities and Exchange Board of India (\u2018SEBI\u2019) has issued circular revising the Handling of Clients\u2019 Securities by Trading Members (\u2018TM\u2019)\/ Clearing Members (\u2018CM\u2019) which was introduced by SEBI Circular dated 20-06-2019, to streamline the process of handling of unpaid securities by TM\/ CM and also to prevent misuse of unpaid securities. The provisions of this circular will come into force from 31-03-2023.\u00a0<\/p>\n<p><b>Key Points<\/b>:\u00a0<\/p>\n<ul>\n<li>\n<p>Securities received in pay-out should be transferred to the demat account directly from the pool account of TM\/CM within 1 working day.<\/p>\n<p>\u00a0<\/li>\n<li>\n<p>In case of unpaid securities, it should be transferred to the demat account by creating auto- pledge with the reasoning \u201cunpaid\u201d and in favour of separate account titled \u201cclient unpaid securities pledge account\u201d.\u00a0<\/p>\n<\/li>\n<li>\n<p>A communication email should be sent after making such a pledge informing the client about their funds obligation and about the right of the TM\/Cm to sell such securities in case of default.\u00a0<\/p>\n<\/li>\n<li>\n<p>In case the client fulfils the fund obligation within 5 trading days, the pledge will be released to the client as a free balance.\u00a0<\/p>\n<\/li>\n<li>\n<p>In case of default in fulfillment of obligation within 5 trading days, the unpaid securities will be disposed of by the TM\/CM and the same should be intimated to the client one trading day before the sale.\u00a0<\/p>\n<\/li>\n<li>\n<p>The sale of such unpaid security should be done with a Unique Client Code (\u2018UCC\u2019) of that client.\u00a0<\/p>\n<\/li>\n<li>\n<p>In case of invocation, the securities will be blocked for early pay-in in the client\u2019s demat account.\u00a0<\/p>\n<\/li>\n<li>\n<p>In case the pledge is never invoked or released within 7 trading days after the pay-out, the pledge will be auto released, and the securities will be available to the client as free balance without encumbrance.\u00a0<\/p>\n<\/li>\n<li>\n<p>The existing \u201cclient unpaid securities account\u201d should wound up before 12-04-2023.\u00a0<\/p>\n<\/li>\n<li>\n<p>The security under the above-mentioned account has to be either disposed of in the market or transferred to the client\u2019s demat account. In case of default, the accounts will be frozen for debit and credit.\u00a0<\/p>\n<\/li>\n<\/ul>\n<hr \/>\n<p style=\"text-indent: 18pt;\"><strong><span style=\"color: #000080;\">*Kriti Kumar, Editorial Assistant has reported this brief.\u00a0<\/span><\/strong><\/p>\n<\/div>\n","protected":false},"excerpt":{"rendered":"<p>&#160; &#160; On 11-11-2022, the Securities and Exchange Board of India (\u2018SEBI\u2019) has issued circular revising the Handling of Clients\u2019 Securities by <\/p>\n","protected":false},"author":121,"featured_media":264666,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_jetpack_memberships_contains_paid_content":false,"footnotes":""},"categories":[4,1193],"tags":[42801,52889,39643,2563,52890],"class_list":["post-277447","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-legislationupdates","category-notifications","tag-credit","tag-debit","tag-demat-account","tag-SEBI","tag-trading-members"],"yoast_head":"<!-- This site is optimized with the Yoast SEO Premium plugin v26.4 (Yoast SEO v26.4) - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>SEBI modifies circular on Handling of Clients\u2019 Securities by Trading Members\/ Clearing Members | SCC Times<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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