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
· 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.
Member-brokers of BSE and their staff associated with the compliance function.
BSE Training Institute
Bombay Stock Exchange Ltd.
DURATION & TIMINGS
4.30 pm to 7.30 pm
Rs. 2,000.00 + 10.30% (Service Tax + Education Cess) per participant inclusive of course material and tuition fees.
For further details regarding registration, contact:
Phone: 022 - 2272 8303, 6136 3155