Compliance Requirements for


The program 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.

    Half day
    4.30 pm to 7.30 pm

    Rs. 4,000.00 + Applicable Taxes per participant inclusive of tuition fees.

    For further details regarding contents,