21st
June 2011
Trading
Members of the Exchange are hereby informed that during the course of
inspection of the books and records of the Trading Members by the Exchange
authorities, the following violation of SEBI Circulars have been noticed;
1.
Non-Maintenance of Order Book showing recording of time of placement of order
by the client – (Reference: SEBI Circular No. SMD/POLICY/ECG/1-97 dated
11.02.97)
2.
Non-Maintenance of duly acknowledged counterfoils or duplicates of contract
notes issued to the clients (Reference: Regulation 17 (1) SEBI (Stock Brokers
and Sub brokers) 1992 & Exchange Bye Laws and rules)
Trading
Members are hereby advised to strictly adhere to the above provisions while
executing trade in C-Star and also in BOLT through CSE-BSE arrangement.
DGM (HR & Admin)