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,19^th Floor

DURATION & TIMINGS

1/2 day

4.30 pm to 7.30 pm

FEES

Rs. 2,000.00 + 10.30% (Service Tax + Education Cess) per participant inclusive of course material and tuition fees.