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| NOTICES |
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| Notice No. |
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20200327-33 |
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Notice Date |
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27 Mar 2020 |
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| Category |
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Compliance |
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Segment |
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General |
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| Subject |
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Relaxation in Compliance requirements - COVID-19 |
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| Content |
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This is in continuation to Exchange Notice No. 20200326-26 dated March 26, 2019 on relaxation in Compliance requirements - COVID-19
Stock brokers are requested to take note that Point No. 1 of the aforesaid notice is amended as under:
In consultations with other stock Exchanges the Trading members working from designated alternate locations, in accordance with BSE Exchange notice no. 20200320-59 dated March 20, 2020, shall be exempted from the penal provisions for not maintaining call recordings of orders/instructions received from clients till April 30, 2020 instead of March 31,2020. However, the trading member shall send a confirmation on the registered mobile number of the client or through other legally verifiable modes, immediately after execution of the order. Stock Brokers shall review and ensure that correct Email ID & mobile numbers are updated in the Exchange UCC database for the client in order to enable the Exchange to send trade confirmations.”
All Stock brokers are requested to take a note of the above and comply.
For and on behalf of BSE Ltd.
Kiran Sawant
Asst. Gen. Manager
(Brokers’ Supervision)
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