N o t i c e

 

21st June 2011

 

 

Sub: Violation of SEBI Circulars observed during the course of inspection of books and records of Trading Members during the period 2010-2011

 

 

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)