Inspection (37)
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NSE forwards SEBI circular advising all trading members on the use of emerging advanced Artificial Intelligence (AI) tools for vulnerability … | |||||||||||||
NSE forwards SEBI circular advising all trading members on the use of emerging advanced Artificial Intelligence (AI) tools for vulnerability detection in IT systems and cybersecurity frameworks.
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NSE mandates empaneled ASPs to conduct and submit periodic System, Cyber Security, and VAPT audits annually, with preliminary reports due by … | |||||||||||||
NSE mandates empaneled ASPs to conduct and submit periodic System, Cyber Security, and VAPT audits annually, with preliminary reports due by June 30 and action taken reports by September 30.
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SEBI adjudication order against Ortem Securities Limited for multiple compliance violations found during a thematic inspection of Authorized … | |||||||||||||
SEBI adjudication order against Ortem Securities Limited for multiple compliance violations found during a thematic inspection of Authorized Persons, including terminal misuse and failure to conduct AP inspections.
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NSE Master Circular from the Inspection Department providing FAQs on KYC and account opening procedures for persons with disability, … | |||||||||||||
NSE Master Circular from the Inspection Department providing FAQs on KYC and account opening procedures for persons with disability, including guardian requirements, digital KYC accessibility, and liveliness check alternatives.
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SEBI adjudicating officer issues order against Goodwill Wealth Management Pvt Ltd (GMWPL) for multiple stock broker regulatory violations … | |||||||||||||
SEBI adjudicating officer issues order against Goodwill Wealth Management Pvt Ltd (GMWPL) for multiple stock broker regulatory violations including unauthorized trading, deficient pre-order confirmations, and improper complaint redressal during April 2024–July 2025 inspection period.
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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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