{"id":62699,"date":"2023-02-08T17:55:37","date_gmt":"2023-02-08T12:25:37","guid":{"rendered":"https:\/\/enterslice.com\/learning\/?page_id=62699"},"modified":"2023-08-09T10:49:18","modified_gmt":"2023-08-09T05:19:18","slug":"sebi-consultation-paper-stock-brokers-prevention-detection-fraud-market-abuse","status":"publish","type":"page","link":"https:\/\/enterslice.com\/learning\/whitepapers\/sebi-consultation-paper-stock-brokers-prevention-detection-fraud-market-abuse\/","title":{"rendered":"SEBI&#8217;s Consultation on Stock Brokers&#8217; Fraud Prevention &amp; Detection Mechanisms"},"content":{"rendered":"<p>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 <a class=\"glossaryLink\"  aria-describedby=\"tt\"  data-cmtooltip=\"&lt;div class=glossaryItemTitle&gt;Market&lt;\/div&gt;&lt;div class=glossaryItemBody&gt;A market is a structured environment, either physical or virtual, where buyers and sellers convene to trade goods and services. This trading hub operates based on the principles of supply and(...)&lt;\/div&gt;\"  href=\"https:\/\/enterslice.com\/learning\/terms\/market\/\"  data-gt-translate-attributes='[{\"attribute\":\"data-cmtooltip\", \"format\":\"html\"}]'>market<\/a> abuse.<\/p>\n\n\n\n<p>This consultation paper aims towards Preventing\/ detecting fraud or<br>market abuse as a key pillar of investor protection.<\/p>\n\n\n\n<p>The following have been proposed namely &ndash;<\/p>\n\n\n\n<p>a) Broker Senior Management Oversight over Surveillance<\/p>\n\n\n\n<p>b) Setting up robust surveillance systems<\/p>\n\n\n\n<p>c) Escalation and reporting mechanism<\/p>\n\n\n\n<p>d) Whistleblower policy<\/p>\n","protected":false},"excerpt":{"rendered":"<p>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 <a class=\"glossaryLink\" aria-describedby=\"tt\" data-cmtooltip=\"&lt;div class=glossaryItemTitle&gt;Market&lt;\/div&gt;&lt;div class=glossaryItemBody&gt;A market is a structured environment, either physical or virtual, where buyers and sellers convene to trade goods and services. This trading hub operates based on the principles of supply and(...)&lt;\/div&gt;\" href=\"https:\/\/enterslice.com\/learning\/terms\/market\/\" data-gt-translate-attributes='[{\"attribute\":\"data-cmtooltip\", \"format\":\"html\"}]'>market<\/a> abuse. This consultation paper aims towards Preventing\/ detecting fraud ormarket abuse as a key pillar of investor protection. The following have been proposed [&hellip;]<\/p>\n","protected":false},"author":61,"featured_media":62705,"parent":15144,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"download-newsletter.php","meta":[],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v14.6.1 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>SEBI Issues Consultation Paper in Regard to the Institutional Mechanisms for Stock Brokers to Ensure the Prevention and Detection of Fraud or Market Abuse<\/title>\n<meta name=\"description\" content=\"The SEBI, issued a Consultation Paper on the institutional mechanisms for Stock Brokers to ensure the prevention and detection of fraud or market abuse.\" \/>\n<meta name=\"robots\" content=\"index, follow\" \/>\n<meta name=\"googlebot\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<meta name=\"bingbot\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/enterslice.com\/learning\/whitepapers\/sebi-consultation-paper-stock-brokers-prevention-detection-fraud-market-abuse\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"SEBI Issues Consultation Paper in Regard to the Institutional Mechanisms for Stock Brokers to Ensure the Prevention and Detection of Fraud or Market Abuse\" \/>\n<meta property=\"og:description\" content=\"The SEBI, issued a Consultation Paper on the institutional mechanisms for Stock Brokers to ensure the prevention and detection of fraud or market abuse.\" \/>\n<meta property=\"og:url\" content=\"https:\/\/enterslice.com\/learning\/whitepapers\/sebi-consultation-paper-stock-brokers-prevention-detection-fraud-market-abuse\/\" \/>\n<meta property=\"og:site_name\" content=\"Enterslice\" \/>\n<meta property=\"article:publisher\" content=\"https:\/\/www.facebook.com\/enterslice\" \/>\n<meta property=\"article:modified_time\" content=\"2023-08-09T05:19:18+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/enterslice.com\/learning\/wp-content\/uploads\/2023\/02\/MicrosoftTeams-image-91-2.jpg\" \/>\n\t<meta property=\"og:image:width\" content=\"920\" \/>\n\t<meta property=\"og:image:height\" content=\"483\" \/>\n<meta name=\"twitter:card\" content=\"summary\" \/>\n<meta name=\"twitter:creator\" content=\"@enterslice\" \/>\n<meta name=\"twitter:site\" content=\"@enterslice\" \/>\n<!-- \/ Yoast SEO plugin. -->","_links":{"self":[{"href":"https:\/\/enterslice.com\/learning\/wp-json\/wp\/v2\/pages\/62699"}],"collection":[{"href":"https:\/\/enterslice.com\/learning\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/enterslice.com\/learning\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/enterslice.com\/learning\/wp-json\/wp\/v2\/users\/61"}],"replies":[{"embeddable":true,"href":"https:\/\/enterslice.com\/learning\/wp-json\/wp\/v2\/comments?post=62699"}],"version-history":[{"count":0,"href":"https:\/\/enterslice.com\/learning\/wp-json\/wp\/v2\/pages\/62699\/revisions"}],"up":[{"embeddable":true,"href":"https:\/\/enterslice.com\/learning\/wp-json\/wp\/v2\/pages\/15144"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/enterslice.com\/learning\/wp-json\/wp\/v2\/media\/62705"}],"wp:attachment":[{"href":"https:\/\/enterslice.com\/learning\/wp-json\/wp\/v2\/media?parent=62699"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}