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Regulatory Correspondences
The Forum on regular basis initiates several representations to MOF, SEBI, FMC, BSE Ltd., NSE Ltd., MCX-SX, MCX, NCDEX, CII, FICCI, ASSOCHAM, IMC and other reputed bodies regarding the concerns faced by the member brokers and capital market intermediaries.
To Other Industry Bodies
| Subject | Representation To | Date sent on | Addressed To |
|---|---|---|---|
| Aadhar Seeding in all Bank Accounts - Issues raised by Indian Bank Association | Indian Banks' Association | 07/12/2017 | Shri. B. Raj Kumar (Deputy Chief Executive) |
| Non availability of NISM examination slots at convenient dates/ venues in mumbai | NISM | 6/11/2017 | Shri Sandip Ghose |
| Implementation of Central KYC Registry Impossibly Tight Deadlines Leading to Market Disruption/ Market wide non compliance | Financial Markets Division, Department of Economic Affairs | 29/11/2016 | Rose mary K Abraham |
| Subject | Representation To | Date sent on | View |
|---|---|---|---|
| Requesting SEBI to Issue Inspection Checklist | Motilal Oswal Securities Pvt Ltd | 19/08/16 |  |
| Limiting Large Number Of Repetitive Regulatory Annual Inspections for Brokers | Motilal Oswal Securities Pvt Ltd | 12/08/16 | |
| Non Confirmation Of Custodial Trades and the resultant penalty levied upon brokers, due to certain factors on which the brokers have no control | Motilal Oswal Securities Pvt Ltd | 12/08/16 | |
| CERSAI C-KYC Requirements on Securities Markets Intermediaries | CERSAI | 04/08/16 | |
| SEBI Circular on new KYC Requirements i.e. 01 Aug 2016 | CERSAI | 28/07/16 | |
| Media Reports- Tarnishing Image of Broking Fraternity | Pune Mirror | 18/07/16 | |
| Congratulations Letter For Appointment as Minister of State for Finance TO SHRI ARJUN RAM MEGHWAL | Minister of State For Finance | 07/07/16 | |
| Congratulations Letter For Appointment as Minister of State for Finance TO SHRI SANTOSH KUMAR GANGWAR | Minister of State For Finance | 07/07/16 | |
| BSE Brokers Forum becomes the “Asian Region Representative” on the International Council of Securities Associations (ICSA) Board | Prime Minister of India, The Minister of State For Finance, Finance Minister Of India, CM Of Delhi & Maharashtra | 01/06/16 | |
| About BSE Brokers Forum | Serious Fraud Investigation Office and Department of Revenue, Ministry Of Finance | 26/05/16 | |
| Identifying physical shares held by the investors | Union Minister of Finance and Corporate Affairs | 19/05/16 | |
| Note and Press Release on ICSA | Minister of State For Finance | 11/05/16 | |
| Request for a meeting to felicitate Shri Saurabh Bhai Patel | Finance Ministry of Gujarat | 13/04/16 | |
| Meeting of Delegates from BSE Brokers Forum with Honorable Minister of External Affairs Mrs. Sushma Swaraj her visit to Mumbai on January 30,2016 | Member Of Parliament | 02/03/16 | |
| Meeting of Delegates from BSE Brokers Forum during her visit to Mumbai on January 30,2016 | Minister of external affairs | 02/03/16 | |
| Request for incentive in relation to the new IT/Ites Policy 2016 | Secretary (NRI &amo; ARTD) | 26/02/16 | |
| New IT/Ites Policy and exemption in stamp duty | Hon Ministry Of Finance | 26/02/16 | |
| Wide Ramifications on Persons connected to capital market in view of Judgment recently passed by Hon'ble Supreme Court interpretation then existing SEBI's penalty provision whereby minimum penalty of Rs 25 crore needs to be imposed in case of FUTP violation | Hon. Ministry Of Finance | 15/02/16 | |
| Invitation on Seminar on Human recourses- Key For Economic Growth | Ministry for Human Resource | 02/02/16 | |
| Invitation on Seminar on Skill Development- Making People Employable | Ministry for Skill Development and Entrepreneurship | 02/02/16 | |
| Ease of Doing Business in Indian Capital Market | Minister of External affairs | 27/01/16 | |
| Expression of Interest for the Inter Financial Services Centre | Vice Chairman IFSC Taskforce, MP | 27/01/16 | |
| Our project in gift city | Hon Ministry Of Finance | 25/01/16 | |
| Request for Exemption from Stamp Duty to Brokers operating | Hon Ministry Of Finance | 06/01/16 | |
| Subject | Representation To | Date sent on | View |
|---|---|---|---|
| Invitation as Chief Guest BBF Conclave on Indian Capital Markets- A Bright Spot among Global Gloom | Union Finance Minister Of India | 11/12/15 | |
| No Cooperation for getting procedure for duplicate shares from Atul Ltd | BSE Investor Grievance Cell | 23/11/15 | |
| Request for a meeting with BSE Brokers Forum | Hon. Minister Of Human Resource Development | 20/11/15 | |
| Listing of shares of Stock Exchange (BSE) | Consultative Committee on Finance | 15/10/15 | |
| High Net worth requirement for Intuitional Business | IDBI Capital | 29/05/2015 | |
| Refund of Membership and other fees/ deposits of Members | OTCEI | 29/05/15 | |
| Advertisement in Economic Times Dated 30th March 2015 | Motilal Oswal Commodities Brokers Pvt Ltd | 13/04/15 | |
| To have Exchange Trading on Budget Day on 28th Feb 2015 | Department Of Economic Affairs | 18/02/15 | |
| Reply for Article in Economic Times "Markets will be closed on Budget Day for First Time in Over Decades | Economic Times | 05/02/15 | |
| To have Exchange Trading on Budget Day on 28th Feb 2015 | FMC | 22/01/15 | |
| Subject | Representation To | Date sent on | View |
|---|---|---|---|
| Draft Order of Amalgamation of NSEL with Financial Technologies (Jointly with ANMI) | Ministry of Corporate Affairs | 19/12/14 | |
| Custodian Charges for pleading and unpleading of shares for capital adequacy in the cash market segment | ICICI Securities | 07/11/14 | |
| Custodian Charges for pleading and unpleading of shares for capital adequacy in the cash market segment | Kotak Securities Ltd | 07/11/14 | |
| Custodian Charges for pleading and unpleading of shares for capital adequacy in the cash market segment | IL &amo; FS Securities Services Ltd | 07/11/14 | |
| Custodian Charges for pleading and unpleading of shares for capital adequacy in the cash market segment | Stock Holding Corporation of India | 07/11/14 | |
| Custodian Charges for pleading and unpleading of shares for capital adequacy in the cash market segment | HDFC Securities | 07/11/14 | |
| Custodian Charges for pleading and unpleading of shares for capital adequacy in the cash market segment | ICICI Securities | 07/11/14 | |
| Custodian Charges for pleading and unpleading of shares for capital adequacy in the cash market segment | Kotak Securities Ltd | 07/11/14 | |
| Recovery of Investors money in NSEL(Jointly with ANMI) | Economic Offence Wing | 20/08/14 | |
| Recovery of Investors money in NSEL(Jointly with ANMI) | Commissioner of Mumbai Police | 20/08/14 | |
| Settlement crisis at NSEL Ltd (Jointly with ANMI) | Economic Offence Wing | 06/08/14 | |
| Settlement crisis at NSEL Ltd | Economic Offence Wing | 06/08/14 | |
| NSEL Matter | Economic Offence Wing | 21/07/14 | |
| Objection to Name change of Dalal Street | BMC & Commissioner MGCM | 17/06/14 | |
| Pre Budget Memorandum 2014 | Parliament | 13/06/14 | |
| Shifting of Scrips From Trade to Trade to Normal Trading | SEBI/NSE/BSE | 12/06/14 | |
| Monitoring cum Auction committee at NSEL | FMC | 04/06/14 | |
| Monitoring cum Auction committee at NSEL | National Spot Exchange Ltd | 04/06/14 | |
| Monitoring cum Auction committee at NSEL | Systematix Shares & Stocks Ltd(Forum Governing Board Member) | 04/06/14 | |
| Seminar on PMLA | Financial Intelligence Unit | 29/05/14 | |
| Request for Meeting | Finance Minister(MOF) | 29/05/14 | |
| Request for Meeting | Disinvestment Secretary | 29/05/14 | |