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Stock exchanges which have not established connectivity with the depository for dematerialised trading may continue to accept delivery in physical form for the scrips announced for compulsory delivery by all investors in dematerialised form, till such time the exchange establishes connectivity with the depository or July 1, 1999, whichever is earlier.
Please refer to our circular no. SMD-I/22532 dated October 19, 1993 whereby codes were allotted to different Stock Exchanges. As you are aware that SEBI has recently recognised Inter Connected Stock Exchange(ICSE). Accordingly ICSE has been allotted Code No. 24 and the members will be issued registration number beginning with INB24.
Central Board of Direct Taxes vide its notification dated October 09, 1998 (copy enclosed) has made it mandatory for every person to quote his/her PAN/GIR in all documents pertaining to any contract of a value exceeding ten lakh rupees for sale or purchase of securities as defined in Clause (h) of Section 2 of the SCRA.
Thus in order to have the identity of the trading member’s clients it is necessary to structure the client codes in such a way that identify the actual person to whom the open position belongs.
When the MPR is not matching with SEBI’s data, SEBI would be sending the transaction records, which are not matching, to the custodians for reconciliation. The custodian would thereafter send the records, which are amended, deleted or not reported earlier, in a separate file along with a hard copy of the same by the fifteenth of the current month.
Those brokers who fail to pay fees referred to in clauses (a),(b) & (c) of Regulation 10( Schedule III) of SEBI (Stock Brokers & Sub-Brokers) Rules & Regulations 1992, as on the first day of October of the financial year to which such payment relates or pay short,
These regulations shall be called the Securities and Exchange Board of India (Buy Back of Securities) Regulations, 1998. These regulations shall come into force on the date of their publication in the Official Gazette.
The bank guarantee should be for a minimum period of three years and it should contain a clause which would enable any claim arising during the period of guarantee could be preferred within a period of six months from the expiry of the guarantee.
Further, effective from January 4, 1999, any investor who would have a net delivery obligation of 5000 shares or more in any of the 24 scrips as per Annexure ‘D’, could only do so in dematerialised form.
The Expert Committee appointed by SEBI on the issue of turnover based fees of brokers had recommended that with respect to jobbing transactions identified and included in the turnover as proposed in the said report, concessional rate of fee of one two hundredth of one percent of the jobbing turnover calculated is to be computed.
