TMI BlogTo maintain proper books of account, records, etc.X X X X Extracts X X X X X X X X Extracts X X X X ..... records relating to receipt and delivery of securities provided by the depository participants in respect of dematerialized securities;] (h) Member s contract books showing details of all contracts entered into by him with other members of the same exchange or counterfoils or duplicates of memos of confirmation issued to such other members; (i) Counterfoils or duplicates of contract notes issued to clients; (j) Written consent of clients in respect of contracts entered into as principals; (k) Margin deposit book; 4 [ **** ] 2 [(n) Client account opening form in the format as may be specified by the Board.] 5 [ (1A) A stock broker in the Execution Only Platforms segment, shall keep and maintain the books of acco ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ities. (2) Every Stock Broker acting as an underwriter shall also maintain the following records with respect to- a) details of all agreements b) total amount of securities of each body corporate subscribed to in pursuance of an agreement c) such other records as may be specified by the Board for underwriting. (5) Agreement with clients Every stock broker acting as an underwriter shall enter into an agreement with each body corporate on whose behalf it is acting as underwriter and the said agreement shall, amongst other things, provide for the following, namely: - a) the period for which the agreement shall be in force; b) the allocation of duties and responsibilities between the underwriter and the client c) th ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... client of the sub-broker to establish privity of contract between the stock broker and the client of the sub-broker. 3. Inserted vide Notification No. SEBI/LAD-NRO/GN/2021/14 dated 30-03-2021 4. Omitted vide Notification No. SEBI/LAD-NRO/GN/2018/27 dated 30-07-2018 w.e.f. 01-04-2019 before it was read as (l) Registers of accounts of sub-brokers; (m) An agreement with a sub-broker specifying the scope of authority, and responsibilities of the Stock Broker and such Sub-broker; 5. Inserted vide Notification No. SEBI/LAD-NRO/GN/2023/116 dated 17-01-2023 - - statute, statutory provisions legislation, law, enactment, Acts, Rules, Regulations, Taxation Tax Management India - taxmanagementindia - taxmanagement - taxman ..... X X X X Extracts X X X X X X X X Extracts X X X X
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