OBJECTIVES
The programme aims at educating the Member-brokers on various rules, guidelines and processes of BSE and SEBI regarding compliance requirements, to enable better compliance
PROGRAMME CONTENTS
Member-brokers Compliance with SEBI ( Stock Brokers and Sub Brokers) Rules, 1992, Rules, Bye-laws & Regulations of BSE, Notices, Circulars issued by BSE and SEBI
- Working of the Inspection Department of BSE
- Areas covered during an inspection audit.
- Norms for imposition of fines and penalties.
Compliance with other allied requirements of the Inspection Department. viz., Submission of Audit Report, Annual Accounts, Net Worth Certificate, Margin Certificate and Unique Client Code.
TARGET AUDIENCE
Member-brokers of BSE and their staff associated with the compliance function.
VENUE
BSE Training Institute
Bombay Stock Exchange Ltd.
P.J.Towers,19th Floor
DURATION & TIMINGS
1/2 day
4.30 pm to 7.30 pm
FEES
Rs. 700.00 + 12.36% (Service Tax + Education Cess) per participant inclusive of course material and tuition fees.
PROGRAMME COORDINATOR
Rakesh Bhatt
For further details regarding contents, contact:
E-mail: rakesh.bhatt@bseindia.com
For further details regarding registration, contact:
BSE Training Institute
Bombay Stock Exchange Ltd.
Phone: 22721126 / 27, 22721233 / 34, Ext: 8121, 8246, 8464, 8062, 8862, 8859
E-mail: training@bseindia.com
