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Compliance Tag

The Pro Readers > Posts tagged "Compliance"

Compliance for Stock Exchange Broker

    Compliance for Stock Exchange Broker We have compiled Regulatory Compliance applicable for Stock Exchange Broker as follows.   Compliance at client level Confirmations of the orders by the clients are required to be transmitted within 24 hours of the execution of the order. The Broker must not pledged any of the shares of the client. The Broker must compiled with all the requirements of Standardized Account Opening Form. All transactions by the clients in terms of buying, selling, payments, receipts, margins, commission are recorded in in books of accounts on timely, adequately and proper manner. Maintenance of record of credit and extension of...

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