SEBI vide circular SEBI/MIRSD/Master Cir-04/2010 dated March 17, 2010 has issued a master circular on oversight of members (stock brokers/trading members/clearing members of any segment of stock exchanges and clearing corporations). This master circular consolidates and updates the requirements/obligations with regard to oversight of members (inspection by stock exchanges/clearing corporations, internal audit etc.)
SEBI had issued in December, 2008 a consolidated master circular on Anti Money Laundering (AML) and Combating Financing of Terrorism (CFT) and in January, 2010 a consolidated master circular for Mutual Funds.
A copy of the master circular on oversight of members is available here.
Thursday, March 18, 2010
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