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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.

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Regulatory Correspondences SEBI



Subject Date sent on View
Introduction Of Commodities Derivatives Trading In BSE 22/09/16 pdf-image
Bringing in Efficiency in SCORES redressal system Usage of Exclusive email ID for redressal of Investor Complaints 19/09/16 pdf-image
Representation from our member broker Ms Motilal Oswal Investment Services 19/09/16 pdf-image
Comments of BBF on SEBI discussion paper Strengthening of the regulatory framework for Algorithm Trading and Co Location 31/08/16 pdf-image
Letter Related to Mail Sent on July 29,2016 towards approach to the CERSAI 04/08/16 pdf-image
SEBI Circular on new KYC Requirements w.e.f 01 Aug 2016 28/07/16 pdf-image
Media Reports- Tarnishing Image of Broking Fraternity 19/07/16 pdf-image
Suggestion on Draft Circular – Simplification of the Client Account Opening Kit 16/06/16 pdf-image
BSE Brokers Forum (BBF) becomes the “Asian Region Representative” on the International Council of Securities Associations (ICSA) Board 01/06/16 pdf-image
SEBI Notification dated 26th September 2012 regarding Mutual Funds Commission not to exceed 12 basis points 31/05/16 pdf-image
Representation in SMAC 19/05/16 pdf-image
Request for Informal Guidance by way of Interpretive Letter Under SEBI (Informal Guidance) Scheme 2003 (the scheme) in connection with removal of doubts over inclusion of service tax on brokerage. 13/04/16 pdf-image
Identifying shares hold by the investors 11/04/16 pdf-image
Net worth of Stock Brokers 17/03/16 pdf-image
Hearty Congratulations for extension of Chairmanship 18/02/16 pdf-image
Subject Date sent on View
Compulsory ASBA for IPOs w.e.f 01-Jan-16 Practical problems faced by Stock Broker in Investor Servicing for IPO 31/12/15 pdf-image
Essar Oil Delisting 22/12/15 pdf-image
SEBI Circular Dt:- 11 Dec-2015 on Basic Service DE mat Account (BSDA) Concerns On Restrictions on Annual Maintenance Charges (AMC) levied by Depository Participants (DPs) 21/12/15 pdf-image
Fraudulent SMS floating in the Market 10/12/15 pdf-image
BSE Brokers Forum presence as an Endorser- at the ASIFMA Annual Conference 2015,2-3 Dec, Hong Kong 04/12/15 pdf-image
Suggestions /Feedback for guidance Note to be issued on FATCA / CRS implementation 23/11/15 pdf-image
Recovery of dues by Stock Brokers from defaulting clients 16/11/15 pdf-image
Listing of shares of BSE Ltd 05/11/15 pdf-image
Comments on Report of the committee on 'Enhanced Supervision of Stock Brokers 26/10/15 pdf-image
SEBI FMC Merger (Congratulations Letter) 29/09/15 pdf-image
Comments on KAMATH Committee 24/09/15 pdf-image
Request for being considered as member of the Secondary Market Advisory Committee 07/08/16 pdf-image
Note on Increase in stamp duty in the state of Maharashtra 17/07/15 pdf-image
Presentation from Ms. Eastern Financers Limited on Adani Price Fall 16/06/15 pdf-image
Dabba Trading Killing Market 12/06/15 pdf-image
Corporate Actions on Pricing on day of Listing Adani Enterprises 11/06/15 pdf-image
Enabling Stock Exchange Mechanism For Tender Offers SEBI mail dated 30-Mar-15/AIBI mail dated 01-Apr-15 05/06/15 pdf-image
Inclusion of Member Broker in IGRC Panel 28/05/15 pdf-image
Exemption of Brokers from Research Analyst Regulations 26/05/15 pdf-image
Comments on discussion on issues pertaining to offer for sale of shares 23/04/15 pdf-image
Inclusion of Differential Voting Shares in various Indices 26/03/15 pdf-image
Commodities Scam of Rs 5500 crores perpetrated by the management of NSEL and recent developments (Jointly with ANMI) 18/03/15 pdf-image
Inputs Required for GOI RCEP meeting 18/03/15 pdf-image
Unnecessary Harassments to Brokers by Authorities 10/02/15 pdf-image
Reports in Economic Times about markets closed on Budget Day 09/02/15 pdf-image
FATCA/CRS-Comments on Draft Rules and Form (Jointly with ANMI) 29/01/15 pdf-image
To have Exchange Trading on Budget Day on 28th Feb 2015 22/01/15 pdf-image
Penalty on client code modification 15/01/15 pdf-image
High margin on single stock option 15/01/15 pdf-image
Uniform parameter for closing of transactions of clients 15/01/15 pdf-image
Core Settlement Guarantee Fund, Default Waterfall and Stree Test Circular CIR/MRD/DRMNP/25/2014 Dated Aug 27,2014 14/01/15 pdf-image
Subject Date sent on View
FATCA provisions email of Dec 23,2014 (Jointly with ANMI) 31/12/14 pdf-image
Comments with regard to providing ISIN details in bills/ contract notes(Jointly with ANMI) 24/12/14 pdf-image
Our Comments on proposed Saral Form(Jointly with ANMI) 19/12/14 pdf-image
Reporting of Turnover by Exchanges 04/12/14 pdf-image
SAVE THE DATE:- 15 April 2015,ICSA AGM Mumbai 15/09/14 pdf-image
Commodities Scam of Rs 5500 cr perpetrated by the management of NSEL (Jointly with ANMI) 19/08/14 pdf-image
Efficient redressal of Investor Grievances at Regional Centres Request for Video Conferencing Facilities 10/07/14 pdf-image
ANMI-BBF Joint Representation on Common Contract Note 08/07/14 pdf-image
EOI for Investor Survey 25/06/14 pdf-image
Reconstitution of Secondary Advisory Committee 25/06/14 pdf-image
Meeting on NISM examinations on June 19,2014 23/06/14 pdf-image
Annual System Audit of Stock Brokers/Trading Members. 23/06/14 pdf-image
Annual System Audit of Stock Brokers/Trading Members. 20/06/14 pdf-image
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To Other Industry Bodies



Subject Representation To Date sent on View
Introduction Of Commodities Derivatives Trading in BSE MOF 22/09/16 pdf-image
Representation from our member broker Ms. Motilal Oswal Investment Services NSE / BSE 19/09/16 pdf-image
Requesting SEBI to Issue Inspection Checklist Motilal Oswal Securities Pvt Ltd 19/08/16 pdf-image
Limiting Large Number Of Repetitive Regulatory Annual Inspections for Brokers Motilal Oswal Securities Pvt Ltd 12/08/16 pdf-image
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 pdf-image
CERSAI C-KYC Requirements on Securities Markets Intermediaries CERSAI 04/08/16 pdf-image
SEBI Circular on new KYC Requirements i.e. 01 Aug 2016 CERSAI 28/07/16 pdf-image
Set Off Of Transaction charges to debt segment BSE Ltd 20/07/16 pdf-image
Media Reports- Tarnishing Image of Broking Fraternity Pune Mirror 18/07/16 pdf-image
Congratulations Letter For Appointment as Minister of State for Finance TO SHRI ARJUN RAM MEGHWAL Minister of State For Finance 07/07/16 pdf-image
Congratulations Letter For Appointment as Minister of State for Finance TO SHRI SANTOSH KUMAR GANGWAR Minister of State For Finance 07/07/16 pdf-image
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 pdf-image
About BSE Brokers Forum Serious Fraud Investigation Office and Department of Revenue, Ministry Of Finance 26/05/16 pdf-image
Identifying physical shares held by the investors Union Minister of Finance and Corporate Affairs 19/05/16 pdf-image
Note and Press Release on ICSA Minister of State For Finance 11/05/16 pdf-image
Request for a meeting to felicitate Shri Saurabh Bhai Patel Finance Ministry of Gujarat 13/04/16 pdf-image
Congratulations For becoming Chairman Of BSE Ltd. to Sudhakar Rao BSE Ltd. 09/03/16 pdf-image
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 pdf-image
Meeting of Delegates from BSE Brokers Forum during her visit to Mumbai on January 30,2016 Minister of external affairs 02/03/16 pdf-image
Request for incentive in relation to the new IT/Ites Policy 2016 Secretary (NRI &amo; ARTD) 26/02/16 pdf-image
New IT/Ites Policy and exemption in stamp duty Hon Ministry Of Finance 26/02/16 pdf-image
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 pdf-image
Invitation on Seminar on Human recourses- Key For Economic Growth Ministry for Human Resource 02/02/16 pdf-image
Invitation on Seminar on Skill Development- Making People Employable Ministry for Skill Development and Entrepreneurship 02/02/16 pdf-image
Ease of Doing Business in Indian Capital Market Minister of External affairs 27/01/16 pdf-image
Expression of Interest for the Inter Financial Services Centre Vice Chairman IFSC Taskforce, MP 27/01/16 pdf-image
Our project in gift city Hon Ministry Of Finance 25/01/16 pdf-image
Request for Exemption from Stamp Duty to Brokers operating Hon Ministry Of Finance 06/01/16 pdf-image
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 pdf-image
No Cooperation for getting procedure for duplicate shares from Atul Ltd BSE Investor Grievance Cell 23/11/15 pdf-image
Request for a meeting with BSE Brokers Forum Hon. Minister Of Human Resource Development 20/11/15 pdf-image
Listing of shares of Stock Exchange (BSE) Consultative Committee on Finance 15/10/15 pdf-image
Presentation from Ms. Eastern Financers Limited on Adani Price Fall NSE 16/06/15 pdf-image
High Net worth requirement for Intuitional Business IDBI Capital 29/05/2015 pdf-image
High Net worth requirement for Intuitional Business MOF 29/05/15 pdf-image
Refund of Membership and other fees/ deposits of Members OTCEI 29/05/15 pdf-image
Self-Trades NSE 05/05/15 pdf-image
Advertisement in Economic Times Dated 30th March 2015 Motilal Oswal Commodities Brokers Pvt Ltd 13/04/15 pdf-image
Advertisement in Economic Times Dated 30th March 2015 MOF 04/03/15 pdf-image
To have Exchange Trading on Budget Day on 28th Feb 2015 Department Of Economic Affairs 18/02/15 pdf-image
Reply for Article in Economic Times "Markets will be closed on Budget Day for First Time in Over Decades Economic Times 05/02/15 pdf-image
Non Allotment of Shares in OFS of Coal India Ltd NSE 04/02/15 pdf-image
To have Exchange Trading on Budget Day on 28th Feb 2015 FMC 22/01/15 pdf-image
To have Exchange Trading on Budget Day on 28th Feb 2015 BSE 22/01/15 pdf-image
To have Exchange Trading on Budget Day on 28th Feb 2015 MCX SX 22/01/15 pdf-image
To have Exchange Trading on Budget Day on 28th Feb 2015 MCX 22/01/15 pdf-image
To have Exchange Trading on Budget Day on 28th Feb 2015 NCDEX 22/01/15 pdf-image
Subject Representation To Date sent on View
Invitation to be Chief Guest For the 28th AGM of ICSA 2015 MOF 30/12/14 pdf-image
Advance information about BSE Brokers Forum & International Council of Securities Associations AGM in Mumbai on April 15-17,2015 MOF 29/12/14 pdf-image
Draft Order of Amalgamation of NSEL with Financial Technologies (Jointly with ANMI) Ministry of Corporate Affairs 19/12/14 pdf-image
Massive Fraud at National Spot Exchange Ltd (NSEL) MOF 03/12/14 pdf-image
Custodian Charges for pleading and unpleading of shares for capital adequacy in the cash market segment ICICI Securities 07/11/14 pdf-image
Custodian Charges for pleading and unpleading of shares for capital adequacy in the cash market segment Kotak Securities Ltd 07/11/14 pdf-image
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 pdf-image
Custodian Charges for pleading and unpleading of shares for capital adequacy in the cash market segment Stock Holding Corporation of India 07/11/14 pdf-image
Custodian Charges for pleading and unpleading of shares for capital adequacy in the cash market segment HDFC Securities 07/11/14 pdf-image
Custodian Charges for pleading and unpleading of shares for capital adequacy in the cash market segment ICICI Securities 07/11/14 pdf-image
Custodian Charges for pleading and unpleading of shares for capital adequacy in the cash market segment Kotak Securities Ltd 07/11/14 pdf-image
Note on STT MOF 20/10/14 pdf-image
Note on Rajiv Gandhi Equity Saving Schemes MOF 20/10/14 pdf-image
Note on Financial Inclusion MOF 20/10/14 pdf-image
Note on Margin Trading MOF 20/10/14 pdf-image
Note on STT MOF 20/10/14 pdf-image
Note on Rajiv Gandhi Equity Saving Schemes MOF 20/10/14 pdf-image
Note on Financial Inclusion MOF 20/10/14 pdf-image
SAVE THE DATE:- 15Th April,2015,ICSA AGM Mumbai MOF 15/10/14 pdf-image
SAVE THE DATE:- 15Th April,2015,ICSA AGM Mumbai NSE 15/09/14 pdf-image
SAVE THE DATE:- 15Th April,2015,ICSA AGM Mumbai BSE 15/09/14 pdf-image
SAVE THE DATE:- 15Th April,2015,ICSA AGM Mumbai RBI 15/09/14 pdf-image
SAVE THE DATE:- 15Th April,2015,ICSA AGM Mumbai MCX 15/09/14 pdf-image
Comments on Concept Note on Streamlining Inspection (Jointly with ANMI) BSE 02/09/14 pdf-image
Recovery of Investors money in NSEL(Jointly with ANMI) Economic Offence Wing 20/08/14 pdf-image
Recovery of Investors money in NSEL(Jointly with ANMI) Commissioner of Mumbai Police 20/08/14 pdf-image
Settlement crisis at NSEL Ltd (Jointly with ANMI) Economic Offence Wing 06/08/14 pdf-image
Settlement crisis at NSEL Ltd Economic Offence Wing 06/08/14 pdf-image
NSEL Matter Economic Offence Wing 21/07/14 pdf-image
Communication to Shareholders holding shares in demat form Physical vs electronic communications Parliamnet,NSDL,CDSL 09/07/14 pdf-image
Objection to Name change of Dalal Street BMC & Commissioner MGCM 17/06/14 pdf-image
Pre Budget Memorandum 2014 Parliament 13/06/14 pdf-image
Shifting of Scrips From Trade to Trade to Normal Trading SEBI/NSE/BSE 12/06/14 pdf-image
Monitoring cum Auction committee at NSEL FMC 04/06/14 pdf-image
Monitoring cum Auction committee at NSEL National Spot Exchange Ltd 04/06/14 pdf-image
Monitoring cum Auction committee at NSEL Systematix Shares & Stocks Ltd(Forum Governing Board Member) 04/06/14 pdf-image
Seminar on PMLA Financial Intelligence Unit 29/05/14 pdf-image
Request for Meeting Finance Minister(MOF) 29/05/14 pdf-image
Request for Meeting Disinvestment Secretary 29/05/14 pdf-image
Suggestions for development of Indian Capital Market MOF 28/05/14 pdf-image
Discussion Paper on Review of Delisting Regulations FICCI 27/05/14 pdf-image
Discussion paper on Review of delisting regulations SEBI/FICCI 22/05/14 pdf-image
Steps to Increase the retail participation in capital market FICCI 05/05/14 pdf-image
Extension of Market Timings on Election Result Day SEBI/NSE/BSE 28/04/14 pdf-image
Extension of market timings on election result day May-16th,2014 BSE 23/04/14 pdf-image
Request for a Speaker from RBI on NBFC RBI 10/04/14 pdf-image