| 20240816-21 |
Penalty Structure for failure to implement framework for trading members to provide the facility of voluntary freezing/blocking of Trading Accounts. |
General |
Compliance |
DOSS |
| 20240528-25 |
Penalty structure for non-compliance with oversight of Authorised Persons by the trading members. |
General |
Compliance |
DOSS |
| 20231129-47 |
Modification of Client Codes (All Segments) – Update and Revised penalty structure |
General |
Compliance |
DOSS |
| 20231121-12 |
Revised Penalty Structure w.r.t. Unauthorised trades executed in the clients’ account |
General |
Others |
DIS |
| 20231005-54 |
Revised Penalties/disciplinary action(s)/charges for System Audit Report & Cyber Security and Cyber Resilience Audit Report related submissions |
General |
Compliance |
DOSS |
| 20230831-17 |
Penalties/Disciplinary action(s)/charges for Non-submission of VAPT Report and/or Compliance Report and/or non-closure of open vulnerabilities. |
General |
Compliance |
DOSS |
| 20230831-13 |
Penalty Structure related to provisions of Upstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs) and Bank Guarantees (BGs) created out of clients' funds |
General |
Compliance |
DOSS |
| 20230704-27 |
Penalty proposal towards disincentives/ penalties towards non-compliance Cyber Security Audit, System Audit, Cyber Incident Reporting, Technical Glitch related violations by members |
General |
Compliance |
DOSS |
| 20230403-53 |
Penalty Structure for Late/Non-submission of Reporting requirement on Settlement of Running Account of Clients' Funds |
General |
Compliance |
DOSS |
| 20230320-72 |
Penalty Structure for Non-display of Brokerage, Statutory & Regulatory Levies to the investors |
General |
Compliance |
DOSS |
| 20230301-3 |
Revised Penalty structure for incorrect submission of Client Level Holding Statement, Cash & Cash Equivalent Balances and Bank Account Balances by members |
General |
Compliance |
DOSS |
| 20230106-56 |
Penalty structure for position limit violation in Equity Derivative and Currency Derivative segment |
General |
Settlement/RMS |
Post Trade |
| 20221121-7 |
Penalty Structure for non-compliance w.r.t publishing of Investor Grievance Escalation |
General |
Others |
DIS |
| 20220930-19 |
System Audit of Stock Brokers / Trading members for the half year ended September 30, 2022 |
General |
Compliance |
ISMS |
| 20220930-18 |
Cyber Security & Cyber Resilience Audit of Stock Brokers for the half year ended September 30, 2022 |
General |
Compliance |
ISMS |
| 20220601-52 |
Penalty/Disciplinary action for delay in submission of Internal Audit Report and adverse observations in the Internal Audit Report |
General |
Compliance |
DOSS |
| 20210927-48 |
Penalty structure for incorrect submission of Client Level Holding Statement, Cash & Cash Equivalent Balances and Bank Account Balances by members |
General |
Compliance |
DOSS |
| 20210927-47 |
Penalty structure for Non-issuance of ‘Statement of Accounts’ for funds, securities and commodities on weekly basis to clients |
General |
Compliance |
DOSS |
| 20210817-28 |
Uniform penalty structure for Clearing Members |
General |
Settlement/RMS |
Post Trade |
| 20210629-35 |
Penalty for not extending Best Price Execution facility to all Clients |
General |
Compliance |
DOSS |
| 20210325-58 |
Penalty Structure for not extending Interoperability facility to all clients |
General |
Compliance |
DOSS |
| 20210324-45 |
Revised Penalty Structure w.r.t. Unauthorised trading determined by Grievance Redressal Committee (GRC) / Arbitration |
General |
Others |
DIS |
| 20210211-24 |
Penalty structure for Non closure of bank account named as “Stock Broker - Client Account” in excess of 30 by December 31, 2020 |
General |
Compliance |
DOSS |
| 20201221-46 |
Penalty structures for Non-closure of Client Collateral / Client Margin Trading Securities demat accounts |
General |
Compliance |
DOSS |
| 20201217-1 |
Penalty structures for Late/Non submission of data towards undertaking to freeze the bank account |
General |
Compliance |
DOSS |
| 20201106-49 |
Disciplinary actions for late/non-submission of data towards ‘Cash & Cash Equivalent Balances’ and ‘Bank Account Balances’ |
General |
Compliance |
DOSS |
| 20200710-44 |
Penalty structure related to the provisions of Handling of Clients’ Securities by Clearing Members |
General |
Settlement/RMS |
Post Trade |
| 20200228-63 |
Penalty structure related to the provisions of Handling of Clients’ Securities by Trading Members |
General |
Compliance |
DOSS |
| 20191218-23 |
Rationalization of imposition of fines for false reporting of margins by Clearing Members in all segments. |
General |
Compliance |
DOSS |
| 20181227-20 |
Indicative penalty structure for Margin Trading |
Equity |
Compliance |
DOSS |
| 20181106-14 |
Revised Penalty structure for Cash Dealings by Stock Brokers |
General |
Compliance |
DOSS |
| 20180509-41 |
Penalty for delay in issuance of Daily margin statement or issued with material discrepancies |
General |
Compliance |
DOSS |
| 20180214-31 |
Revised penalty structure |
General |
Compliance |
DOSS |