{"id":325555,"date":"2024-07-02T16:00:15","date_gmt":"2024-07-02T10:30:15","guid":{"rendered":"https:\/\/www.scconline.com\/blog\/?p=325555"},"modified":"2024-07-02T15:28:43","modified_gmt":"2024-07-02T09:58:43","slug":"securities-and-exchange-board-of-india-stock-brokers-amendment-regulations-2024-legal-news","status":"publish","type":"post","link":"https:\/\/www.scconline.com\/blog\/post\/2024\/07\/02\/securities-and-exchange-board-of-india-stock-brokers-amendment-regulations-2024-legal-news\/","title":{"rendered":"Securities and Exchange Board of India (Stock Brokers) (Amendment) Regulations, 2024"},"content":{"rendered":"<div style=\"text-align: justify; line-height: 150%;\">\n<p style=\"margin-bottom: 3%;\">On 27-06-2024, the Securities and Exchange Board of India notified the Securities and Exchange Board of India (Stock Brokers) (Amendment) Regulations, 2024 to amend the <a href=\"http:\/\/www.scconline.com\/DocumentLink\/wa57C61I\" target=\"_blank\" rel=\"noopener\">Securities and Exchange Board of India (Stock Brokers) Regulations, 1992<\/a>. These regulations came into force on 28-06-2024.<\/p>\n<p style=\"font-weight: bold;\">Key Points:<\/p>\n<ul style=\"list-style-type: disc;\">\n<li>\n<p>The 2024 Regulations inserted Chapter IV A to include institutional mechanism for the prevention and detection of fraud or market abuse.<\/p>\n<\/li>\n<li>\n<p>The new Chapter includes systems for the surveillance of trading activities and internal controls, as well as the obligations of the stock brokers and their employees.<\/p>\n<\/li>\n<li>\n<p>The new Chapter also provides for escalation and reporting mechanisms which requires the submission of a periodic report to verify the adequacy and efficiency of the systems for internal control along with other provisions.<\/p>\n<\/li>\n<li>\n<p style=\"margin-bottom: 3%;\">The new Chapter inserts a whistle-blower policy that requires the stock brokers to establish and maintain a confidential channel for employees and other stakeholders to raise concerns about fraudulent activities, unfair\/unethical practices, etc.<\/p>\n<\/li>\n<\/ul>\n<\/div>\n","protected":false},"excerpt":{"rendered":"<p style=\"font-style: italic;\">The amendment has been notified to insert institutional mechanism for the prevention and detection of fraud or market abuse.<\/p>\n","protected":false},"author":67011,"featured_media":316838,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_jetpack_memberships_contains_paid_content":false,"footnotes":""},"categories":[4,15],"tags":[70457,70456,2828,10141,70458,2563,49788],"class_list":["post-325555","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-legislationupdates","category-rules_regulations","tag-1992-regulations","tag-2024-regulations","tag-Amendment","tag-fraud","tag-market-abuse","tag-SEBI","tag-stock-brokers"],"yoast_head":"<!-- This site is optimized with the Yoast SEO Premium plugin v26.4 (Yoast SEO v26.4) - 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