A Stock Broker License is a licensed practitioner who serves as an agent for the buying or selling of shares or securities in the secondary market on behalf of their clients and investors. Stock Brokers have allowed an individual who has the right to perform these functions as a result of registration with the authorities. No individual may perform these functions unregistered.
Stock Broker License As per Securities Contracts (Regulations) Rules, 1957, a stockbroker is a person having trading rights in any of the recognized stock exchange and includes a trading member
As per SEBI stockbroker and sub-broker rule, 1992 books of account should be maintained:
➲ Under regulation 17 following books are to be maintained by a stockbroker:
➲ As per securities contracts regulation rule 1957, stockbroker need to maintain:
Every member of the recognised stock exchange shall maintain and preserve the following books of accounts and documents for a period of five years:
In simple word, compliance means following rules and orders applicable on the entity. Every entity is governed under law and order and that entity needs to follow the rule and regulations prescribed by it. Legal and regulatory enforcement must be handled
An authorized money exchanger allowed to purchase foreign currency from non-residents visiting India & residents and to sell foreign currency for private and business travel purposes only are called full fledge money changers. Under section 10 of (FEMA
A business incorporated in India has to fulfill a specific set of compliance, filings, and returns as prescribed under the provisions of various corporate and tax laws. In simple words, compliance means following rules and orders applicable to the entity.
An alternative corporate business form that gives the benefits of limited liability of a company and the flexibility of a partnership is known as limited liability Partnership (LLP). The LLP can continue its existence irrespective of changes in the partne
Compliance means abiding with the provisions of law applicable to a person. Every entity is governed by the applicable provisions of the law and which it needs to follow to the spirit. Legal and regulatory compliance must be handled as an integral part of
A Stock Broker License is a licensed practitioner who serves as an agent for the buying or selling of shares or securities in the secondary market on behalf of their clients and investors. Stock Brokers have allowed a individual who has the right to perfo
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