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Complete Stock Broker Set up Checklist

Posted By : Sachin / Published on : 14-May-2021 09:54 AM / View : 813 / Comments : 0

Hi,

Pls help with a checklist for an entity who has just received Stock broker license - need complete checklist on compliance, operation, etc.

Thanks
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Company direct file application of STK-2 without complete pending compliance

Posted By : Divya Saluja / Published on : 30-Jul-2019 04:30 AM / View : 543 / Comments : 0

Dear Members

Please Suggest me

Can a company direct file application of STK-2 without complete pending compliance. After incorporation company never made any compliance. Now Company received a notice under STK 1
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