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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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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 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
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
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
High Net worth requirement for Intuitional Business IDBI Capital 29/05/2015 pdf-image
Refund of Membership and other fees/ deposits of Members OTCEI 29/05/15 pdf-image
Advertisement in Economic Times Dated 30th March 2015 Motilal Oswal Commodities Brokers Pvt Ltd 13/04/15 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
To have Exchange Trading on Budget Day on 28th Feb 2015 FMC 22/01/15 pdf-image
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 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
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
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