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On 07th February 2023, the Securities Exchange Board of India (SEBI), issued a Consultation Paper on the institutional mechanisms for Stock Brokers to ensure the prevention and detection of fraud or market abuse.
This consultation paper aims towards Preventing/ detecting fraud ormarket abuse as a key pillar of investor protection.
The following have been proposed namely –
a) Broker Senior Management Oversight over Surveillance
b) Setting up robust surveillance systems
c) Escalation and reporting mechanism
d) Whistleblower policy
SEBI’s Consultation on Stock Brokers’ Fraud Prevention & Detection Mechanisms
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