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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 Issues Consultation Paper in Regard to the Institutional Mechanisms for Stock Brokers to Ensure the Prevention and Detection of Fraud or Market Abuse
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