Supervision (4)
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NSE prescribes categorized violations (A, B, C) and indicative disciplinary actions that Trading Members must apply against Authorised … | |||||||||||||
NSE prescribes categorized violations (A, B, C) and indicative disciplinary actions that Trading Members must apply against Authorised Persons based on non-compliance identified during inspections.
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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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