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- Member Compliance Overview
Member Compliance Overview
- Members Homepage
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Platforms & Services
- NSE Trading Technology
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Non-NEAT Front End
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- Computer to Computer link software (CTCL)
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- Decision Support Tools / Algorithms trading
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- Test & Simulated Market Facility
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FAQs
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Continuous Markets
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- Open Market BuyBack
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- Special Pre-Open session
- Test Market Environment for Members
- Trade Drop copy Facility
- Trading Protocols
- Encryption of Interactive Messages
- UCC/PAN validation in Trading system
- Trading in T+0 Security
- Block Deal Window
- Sliding Price Bands
- Non Continuous Markets
Member Compliance Overview
Trading members of the Exchange are required to comply with requirements as laid down in Rules, Regulations and Byelaws of the Exchange and the Clearing Corporation (NSE Clearing).
Each Trading Member shall establish, maintain, and enforce procedures to supervise its business and to supervise the activities of its employees that are reasonably designed to achieve compliance with the NSE Bye-laws, Rules and Regulations and any notifications, directions etc. issued thereunder as well as the relevant statutory Acts.
Given below are the various compliances:
Change in Membership
Member Compliance
- Code of Advertisement
- SEBI Turnover Fees
- Stamp Duty
- Member Disclosures
- Compliance Handbook
- Compliance Calendar
- Compliance Training
- Common Irregularities observed during inspection by SEBI
- Client Registration Documents
- System Audit Compliances
- Cyber Security
- List of Forensic Auditors
- Technical Glitches reported by Trading Members
- Details of Member's Mobile Applications
- List of Registered OBPPs
- Empanelment of Back-office Vendors
Updated on: 28/11/2024
