Regulation 18F - Systems for surveillance of trading activities and internal controls - Securities and Exchange Board of India (Stock Brokers) Regulations, 1992

1 [Systems for surveillance of trading activities and internal controls. 18F. The key managerial personnel and senior management including Designated Directors and persons of other equivalent or analogous rank of the stock broker shall put in place adequate systems for surveillance of trading activities and internal control systems to ensure compliance with all the regulatory requirements as may be specified by the Board or the stock exchanges from time to time, for the detection, prevention and reporting of potential fraud or market abuse by its clients, employees or Authorised Persons. ] ***************** NOTES:- 1. Inserted vide Notification No. SEBI/LAD-NRO/GN/2024/186 dated 27-06-2024