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Sebi's penalty on research analyst sparks compliance fears
October 31, 2024
|Mint Mumbai
The market regulator's penalty on research analyst Arun N. has left his peers worried as they fear that the requirement of adequate know-your-customer checks would be a compliance challenge.
On 24 October, the Securities and Exchange Board of India (Sebi) fined Arun N. ₹7 lakh for misleading clients by promising assured returns and failing to conduct KYC.
KYC is an unclear area as there is no clarity on whether analysts need to verify client credentials, a senior research analyst told Mint on the condition of anonymity. "The regulator may issue a circular clarifying the specifications of KYC and timelines."
هذه القصة من طبعة October 31, 2024 من Mint Mumbai.
اشترك في Magzter GOLD للوصول إلى آلاف القصص المتميزة المنسقة، وأكثر من 9000 مجلة وصحيفة.
هل أنت مشترك بالفعل؟ تسجيل الدخول
المزيد من القصص من Mint Mumbai
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