Expulsion against the appellant, from the membership of the ...
SEBI
December 2, 2020
Expulsion against the appellant, from the membership of the National Stock Exchange of India Limited - Schedule II of the SEBI (Stock Brokers and Sub Brokers) Regulations, 1992 prescribes a “Code of Conduct” for the stock brokers and clause 5 thereof specifies that compliance with statutory requirements is a mandatory aspect of code of conduct of a stock broker. The appellant consistently failed to comply with the requirements and acted in a manner which was prejudicial to the sanctity of a Member Exchange relationship. - SC
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