Inspection (9)
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SEBI imposes penalty on Motilal Oswal Financial Services Limited for non-compliance with stock broker regulations during inspection period … | |||||||||||||||
SEBI imposes penalty on Motilal Oswal Financial Services Limited for non-compliance with stock broker regulations during inspection period April 2022 to October 2023.
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SEBI imposes penalties on Motisons Shares Private Limited for violations of stock broker regulations, client fund handling, and compliance … | |||||||||||||||
SEBI imposes penalties on Motisons Shares Private Limited for violations of stock broker regulations, client fund handling, and compliance requirements during inspections from 2021-2024.
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NSE introduces new framework for empanelling auditors to conduct system audits of trading members, effective from audit period ending … | |||||||||||||||
NSE introduces new framework for empanelling auditors to conduct system audits of trading members, effective from audit period ending September 30, 2025.
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SEBI introduces joint annual inspection policy for brokers and DPs by MIIs to reduce inspection burden and improve supervision … | |||||||||||||||
SEBI introduces joint annual inspection policy for brokers and DPs by MIIs to reduce inspection burden and improve supervision effectiveness.
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SEBI introduces joint annual inspection policy for brokers and DPs to reduce compliance burden and improve supervision effectiveness through … | |||||||||||||||
SEBI introduces joint annual inspection policy for brokers and DPs to reduce compliance burden and improve supervision effectiveness through coordinated inspections by MIIs.
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SEBI mandates joint annual inspections by MIIs instead of separate inspections to ease regulatory burden on brokers and improve supervision … | |||||||||||||||
SEBI mandates joint annual inspections by MIIs instead of separate inspections to ease regulatory burden on brokers and improve supervision effectiveness.
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SEBI implements joint annual inspections by market infrastructure institutions instead of separate inspections to reduce compliance burden … | |||||||||||||||
SEBI implements joint annual inspections by market infrastructure institutions instead of separate inspections to reduce compliance burden on intermediaries.
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SEBI implements joint annual inspections by Market Infrastructure Institutions (MIIs) with information sharing mechanism and revised … | |||||||||||||||
SEBI implements joint annual inspections by Market Infrastructure Institutions (MIIs) with information sharing mechanism and revised selection criteria to reduce operational disruption for intermediaries.
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NSE circular requiring trading members to update FATF compliance actions in ENIT New Compliance module by August 20, 2025. | |||||||||||||||
NSE circular requiring trading members to update FATF compliance actions in ENIT New Compliance module by August 20, 2025.
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