Dear All,
Request you to please send me the compliances that a Broking Company needs to do to the Stock Exchanges and SEBI.
They are registered brokers with them.
Regards,
Snehal
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Broking Company Compliance
Replies (1)
Hi kindy go to the site of respective exchanges. Its show circular for compliance along with formats in which you have to comply. Normally Internal audit report, Networth Certificate etc. In case change in shareholding you have to obtain prior permission of respective stock exchanges.
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