Notice No20201021-40Notice Date21 Oct 2020
CategoryComplianceSegmentGeneral
SubjectInternal Risk Assessment of Registered Intermediaries - Submission
Content

This has reference to the BSE notice 20200915-59 dated September 15, 2020 on Internal Risk Assessment of Registered Intermediaries where the exchange had requested all Active Members as on the date of the notice, who have executed trades from April 2015 to March 2020 were required to submit the data, consolidated across all Exchanges, as per Annexure-A.

Eligible Members, as specified above, are advised to submit details given in Annexure-A of exchange notice 20200915-59 on email ira@bseindia.com by October 31, 2020.

 

Members are advised to take note of the above and ensure strict compliance and adhere the timelines.

In case of any clarifications, Members may contact our below officials:

Name of officials

Contact No

Email ID

Ashwin Lalchandani

Prashant Sindhwad

Prakash Ananthanarayanan

Tushar Shetty

022-22725185

022-22728460

022-22728895

022-22728217

bse.inspection@bseindia.com

 

For and On behalf of BSE Ltd.  

 

 

Kiran Sawant                                                                                  

Asst. Gen. Manager                                                                        

(Brokers’ Supervision)