Dated: 22nd March 2010
Sub: Master Circular on Oversight of Members (Stock Brokers/Trading Members/Clearing Members of any Segment of Stock Exchanges and Clearing Corporations)
Trading Members of the Exchange are hereby informed that the Exchange has received a Circular Ref No. SEBI/MIRSD/Master Cir-04/2010, dated March17, 2010 from SEBI regarding oversight of members, enclosing therewith an Annexure containing an illustrative list of violations/deficiencies observed by SEBI in its inspections of trading members.
All trading members are advised to take note of the circular and the Annexure attached and ensure compliance.
DGM Surveillance & MOP