Inspection (32)
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NSE prescribes timelines for submission of Cyber Security and Cyber Resilience Audit Reports by trading members under SEBI's CSCRF … | |||||||||||||
NSE prescribes timelines for submission of Cyber Security and Cyber Resilience Audit Reports by trading members under SEBI's CSCRF framework, with deadlines of June 30, 2026 for preliminary reports and September 30, 2026 for corrective action reports.
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NSE mandates trading members to conduct system audits for the period ending March 31, 2026, with preliminary audit reports due by June 30, … | |||||||||||||
NSE mandates trading members to conduct system audits for the period ending March 31, 2026, with preliminary audit reports due by June 30, 2026, and action taken reports by September 30, 2026.
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NSE announces discontinuation of the requirement for trading members to report demat accounts to stock exchanges, effective April 17, 2026. … | |||||||||||||
NSE announces discontinuation of the requirement for trading members to report demat accounts to stock exchanges, effective April 17, 2026. The exchange will now obtain demat account data directly from depositories.
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NSE has rationalized and standardized penalties for trading members covering violations related to client fund misuse, securities misuse, … | |||||||||||||
NSE has rationalized and standardized penalties for trading members covering violations related to client fund misuse, securities misuse, net worth shortfalls, and non-cooperation during inspections, with tiered penalties for repeat offenders.
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NSE reminds trading members to submit Action Taken Reports (ATR) for non-compliances identified in Cyber Security and Cyber Resilience … | |||||||||||||
NSE reminds trading members to submit Action Taken Reports (ATR) for non-compliances identified in Cyber Security and Cyber Resilience Audits for the half-yearly audit period ending September 30, 2025, with a deadline of April 30, 2026.
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NSE mandates all active trading members to submit Risk Based Supervision (RBS) data for the period April 01, 2025 to March 31, 2026 … | |||||||||||||
NSE mandates all active trading members to submit Risk Based Supervision (RBS) data for the period April 01, 2025 to March 31, 2026 electronically through the Member portal by May 31, 2026.
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SEBI issues final order against Basan Financial Services Limited (Merchant Banker) for multiple compliance violations found during … | |||||||||||||
SEBI issues final order against Basan Financial Services Limited (Merchant Banker) for multiple compliance violations found during inspection covering April 2022 to June 2023, including failure to maintain dedicated complaint email ID and non-submission of half-yearly reports.
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NSE announces updated list of Qualified Stock Brokers (QSBs) based on SEBI-defined parameters, and invites voluntary QSB designation … | |||||||||||||
NSE announces updated list of Qualified Stock Brokers (QSBs) based on SEBI-defined parameters, and invites voluntary QSB designation applications by April 30, 2026.
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NSE directs trading members to update FATF compliance actions in ENIT New Compliance module by April 23, 2026, following the February 2026 … | |||||||||||||
NSE directs trading members to update FATF compliance actions in ENIT New Compliance module by April 23, 2026, following the February 2026 FATF Plenary on jurisdictions under increased monitoring.
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SEBI issues order against AFCO Capital India Private Limited (SEBI Reg. No. INM000012555) for violations of Merchant Bankers Regulations, … | |||||||||||||
SEBI issues order against AFCO Capital India Private Limited (SEBI Reg. No. INM000012555) for violations of Merchant Bankers Regulations, Intermediaries Regulations, PFUTP and PIT Regulations following inspection for April 2022 to August 2024.
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