SEBI operationalizes online registration mechanism for securities market intermediaries

SEBI operationalizes online registration mechanism for securities market intermediaries

May 5, 2017 CORP 9

The Securities and Exchange Board of India (“SEBI”) has issued a Circular on 2nd May, 2017 informing about the operationalization of SEBI Intermediary Portal( (“Portal”).

The Portal has been made operational for the following intermediaries:

  • Stock Brokers
  • Sub-brokers
  • iii. Merchant Bankers (MB)
  • Underwriters (UW)
  • Registrar to an Issue and Share Transfer Agents (RTA)
  • Debenture Trustees (DT)
  • vii. Bankers to An Issue
  • viii.Credit Rating Agency

It has been further informed that the Portal will become operational for Depository Participants from 31st May, 2017.

The key highlights of the Circular are as follows:

  1. The Portal will include online application for registration, processing of application, grant of final registration, application for surrender / cancellation, submissionof periodical reports, requests for change of name / address / other details etc.
  2. All applications for registration / surrender / other requests should be made through the Portal only. The applications in respect of stock brokers / sub-broker and depository participants will continue to be made through the stock exchanges and depositories respectively.
  3. The applicants will be separately required to submit relevant documents viz. declarations / undertakings required as a part of application forms prescribed in relevant regulations, in physical form, only for records without impacting the online processing of applications for registration.

For further details, refer to the hyperlink given below.

Source: Securities and Exchange Board of India

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