I Love Stock Market - BBF

Regulatory Policies

Sr. No. Name of the Policy Applicable to
1 Asset Management Cybersecurity
2 Audit Trail Policy Cybersecurity
3 Business Continuity Policy General
4 Code of Advertisement for Stock Broker General
5 Code of Conduct and Ethics General
6 Configuration Security Management Cybersecurity
7 Conflict of Interest Policy General
8 Cybersecurity And Cyber Resilience Policy Cybersecurity
9 Dealing Room Policy RMS
10 Facsimile Signature Contract Notes Policy Operation
11 Good Till Cancelled Orders Of Client RMS
12 Information Security Policy IT
13 Insider Trading Policy General
14 Log Retention Policy IT
15 Media Handling & Security Policy Cybersecurity
16 Network Security Policy Cybersecurity
17 Outsourcing Policy General
18 Patch Management Cybersecurity
19 PMLA Policy PMLA
20 Policy for Incentives Referral RMS
21 Policy for Investor Grievances Compliance
22 Policy for unauthentic news circulation General
23 Policy on Handling of Valid Till Date (VTC) RMS
24 Policy On Voluntary Freezing/Blocking of Online Trading Account KYC
25 Risk Management Policy Risk
26 Running Account Settlement Policy Operation
27 Software Development Cycle IT
28 Surveillance Policy Surveillance
29 VAPT Policy Cybersecurity

Disclaimer: The information presented has been sourced from B Y & Associates, Chartered Accountants. While every effort has been made to ensure accuracy and reliability, neither the publishers nor the organization accept any liability for errors, omissions, or consequences arising from its use. Readers are advised to exercise discretion and obtain professional advice before acting on any information provided.