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Framework for Supervision of Authorised Persons (APs) & Branches by Members

Market Access through Authorized Persons Attention of Members’ is drawn to Exchange circular NSE/INSP/42448 dated October 18, 2019, which mandates Members to exercise adequate control and due diligence over the activities & transactions of their Authorized Persons (APs) and conduct their periodic inspection in the manner as specified therein. A) All inspections undertaken during a financial year including the quantum should comply with guidelines prescribed in Exchange circular NSE/INSP/42448 dated October 18, 2019. B ) […]

Filed under: Business Articles, Industry Reports, Insights, SEBI | Posted on October 17th, 2021 by admin_estabizz | No Comments »

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