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SEBI vide its circular No. MRD/DoP/SE/Cir-21/2009 dated December 09, 2009 prescribed norms regarding ‘Preservation of records’. It has been decided that the provisions of the said circular shall be made applicable for all the commodity derivatives exchanges and their members.
As per Section 131(4) of Finance Act, 2015 all rules, directions, guidelines, instructions, circulars, or any like instruments, made by the erstwhile FMC or the Central Government applicable to recognized associations under the FCRA would continue to remain in force for a period of one year from the date on which FCRA was repealed (September 29, 2015), or till such time as notified by SEBI, whichever is earlier.
1. These regulations may be called the Securities and Exchange Board of India (Settlement of Administrative and Civil Proceedings) (Amendment) Regulations, 2016. 2. They shall come into force on the date of their publication in the Official Gazette.
1. These regulations may be called the Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) (Third Amendment) Regulations, 2016. 2. They shall come into force on the date of their publication in the Official Gazette.
Market wide impact: shall mean the defaults which have a bearing on the securities market as a whole and not just the listed security and its investors which is under investigation/inquiry/inspection, etc.
The sale proceeds may be utilized for investments permitted in paragraph 37; ii. upto 25% of the value of the portfolio as on the date of the interim order or the amount* in excess of the profit made/loss incurred, whichever is higher, may be utilized for business purposes and ! or for meeting any other exigencies or address liquidity problems etc.
(i) Classification of genuine errors: The following shall be classified as genuine errors for the purpose of client code modification:- a. Error due to communication and / or punching or typing such that the original client code / name and the modified client code / name are similar to each other. b. Modification within relatives (‘Relative’ for this purpose would mean as defined under Companies Act, 2013)
As per Section 131(4) of Finance Act, 2015 all rules, directions, guidelines, instructions, circulars, or any like instruments, made by the erstwhile FMC or the Central Government applicable to recognized associations under the FCRA would continue to remain in force for a period of one year from the date on which FCRA was repealed (September 29, 2015), or till such time as notified by SEBI, whichever is earlier.
Exchanges shall also ensure that the staff members of the Exchanges are not associated with such activities as mentioned above. The Exchanges shall lay down a suitable code of conduct for their executives and other staff members in this regard.
It has been decided to make the provisions of the aforesaid circular applicable to the Brokers / Trading Members of the National Commodity Derivatives Exchanges. The major provisions / framework of System audit for Brokers / Trading members covered are as under:
