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t had in operation at that time, arrangements that could reasonably be expected to ensure that the information was not communicated to the person or persons who made the decision and that no advice with respect to the transactions or agreement was given to that person or any of those persons by that officer or employee.
The amendment facilitates the entry of companies as defined in the Companies Act, 1956, as members to the stock exchanges subject to the conditions mentioned therein. It is requested that applications from corporate members may be called for by issuing a suitable notice in the press.
Please find enclosed one copy of the Securities and Exchange Board of India (Stock Brokers & Sub-Brokers) Rules, 1992 and the Securities and Exchange Board of India (Stock Brokers & Sub-Brokers) Regulations, 1992. Kindly acknowledge the receipt of this letter.
You are also requested to separately check the authenticity of the figures mentioned in your letter by obtaining an audit certificate from the member-brokers and forward the same to SEBI. In case, the actual turnover of any broker is found to be higher than the one mentioned in your letter, you are requested to collect the additional fees, as well, as per the turnover certified.
The stock exchange shall forward the application form to the Board as early as possible but not later than thirty days from the date of its receipt.
The presidents also felt that Companies Act, 1956, permitting companies to send abridged balance sheets to the shareholders needed to be amended forthwith, preferably by way of an Ordinance, to ensure that all shareholders were supplied with the full copy of the balance sheets.
The Exchange is directed to set aside atleast 20% of the listing fees for providing services to the investing public. The exchange is also directed to provide daily quotation, other publications, computerised services and other services to the members of the stock exchange at cost price. The exchange would contribute 5% of total listing fees to SEBI every year.
The Modification has been sought with regard to eligibility of a person, who has been a member of any stock exchange for a period of less than 5 years, to apply for membership in another exchange. It was proposed that such a person may be permitted to become member of another stock exchange if he agrees to relinquish the membership of the stock exchange of which he is presently a member.
after the inspection of records of the member brokers, the findings of the Exchange indicating whether the aforesaid directive of the Government has been implemented by brokers.
The Government has further issued a notification on July 30, 1992 directing that the powers under the sub-section (5) of Section 4 and Sections 7, 8, 11, 12 and 16 of the Securities Contracts (Regulation) Act, 1956, which are exercisable by the Central Government shall also be exercisable by Securities and Exchange Board of India (SEBI). A copy of the notification is enclosed for reference and information.
