To All Members,
This is with reference to the Exchange Notice No. 20240822-19 dated August 22, 2024, wherein a list of common violations/deficiencies observed by SEBI during the inspection of Trading Members for the period April 2023 to March 2024 was communicated to the Trading Members. The violations/deficiencies observed are also available on the Exchange website in the following link:
https://www.bseindia.com/downloads1/C_O_irregularities_indicative_penalty_structure.zip
In continuation to the above, a list of common violations/deficiencies observed by the Exchange during the inspections of Trading Members for the period April 2024 to September 2024 is enclosed as Annexure A of this Circular. These violations/deficiencies observed are also available on the Exchange website in the following link:
https://www.bseindia.com/downloads1/Common_irregularities_inspections.pdf
All Trading Members are advised to take note of the areas listed, put in place necessary systems and procedures to strengthen their compliance level and ensure adherence to the relevant compliance requirements.
In case of any clarification required, you may reach at 022-69158540/ 45720640/ 45720440 or you may send an email to Bse.inspection@bseindia.com.
For and on behalf of BSE Ltd.
Sandeep Sharma Richa Gosh
Asst. Gen. Manager Asst. Gen. Manager
Member Oversight Member Oversight |