Dear All,
Request you to please send me the compliances that a Broking Company needs to do to the Stock Exchanges and SEBI.
They are registered brokers with them.
Regards,
Snehal
1 Replies
HARDIK
(COMPANY SECRETARY NCFM (Corporate Governance ))
(664 Points)
Replied 27 January 2011
Hi kindy go to the site of respective exchanges. Its show circular for compliance along with formats in which you have to comply. Normally Internal audit report, Networth Certificate etc. In case change in shareholding you have to obtain prior permission of respective stock exchanges.
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