BSE - Compliance Requirements for Member Brokers Programe
BSE Training Institute Mumbai

Type: Certification

Category: Commerce, Banking & Finance

Sub Category: Capital Markets

About BSE - Compliance Requirements for Member Brokers Programe Course

Here are the details of BSE - Compliance Requirements for Member Brokers Programe Course including duration, Eligibility, Admission Criteria, Fees and Syllabus.


The programme aims at educating the Member-brokers on various rules, guidelines and processes of BSE and SEBI regarding compliance requirements, to enable better compliance


    • Member-brokers Compliance with SEBI ( Stock Brokers and Sub Brokers) Rules, 1992, Rules, Bye-laws & Regulations of BSE, Notices, Circulars issued by BSE and SEBI 

    • Working of the Inspection Department of BSE
    • Areas covered during an inspection audit.
    • Norms for imposition of fines and penalties.
    • Compliance with other allied requirements of the Inspection Department. viz., Submission of Audit Report, Annual Accounts, Net Worth Certificate, Margin Certificate and Unique Client Code.


Member-brokers of BSE and their staff associated with the compliance function.


BSE Training Institute

Bombay Stock Exchange Ltd.
P.J.Towers,19th Floor


1/2 day

4.30 pm to 7.30 pm


Rs. 700.00 + 10.30% (Service Tax + Education Cess) per participant inclusive of course material and tuition fees.

Special Features About BSE - Compliance Requirements for Member Brokers Programe

  • EntranceExam EntranceExam:
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  • Average Salary Average Salary:
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  • Syllabus Syllabus:

About the College

BSE has carved out a unique position among stock exchanges in the world in respect of knowledge development and management. It set up an exclusive training facility way back in 1989 which has now emerged as the leading facility in financial and securities market training in India.

BTI currently offers 36 courses, conducted over 180 programmes attended by over 8,200 participants a year. Participants are not only from all over the country but also from South Asia, Central Asia, Eastern Europe, Middle East and Africa. BTI also conducts various customised programmes for leading corporate and financial institutions.

Other Courses offered by BSE Training Institute

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Address :

P.J.Towers,18th & 19th Floor, Dalal Street, Mumbai - 400001, Tel:.022 2272 8303/ 8246/ 8247/ 8161/ 8464 Fax: 022 22723250


Related  Questions

Ask Now

Q : Which are the good courses after graduation for commerce?

Ans : There are many good courses after graduation for arts, Commerce and Science. You can all find them on this site at the following link:

Q : where can i pursue BBM in e-banking & finance in Karnataka?

Ans : MANIPAL UNIVERSITY IN Karnataka . The last date for the admissions is nearing i.e. 16.03.2010

Q : i hav just given de 10th CLASS EXAMS AND i m now confused that which stream i choose see i m interested in commerce but my parents want me to do mechanical engineering.I m weak in maths and science subject.they thought that if i m weak in maths then i cant do commerce. we r having our own business so i want to go in business line so plz suggest me for which stream i will choose my mail id is and my cell no is 9781987941

Ans : Rajbir, i understand u want to pursue your career in the family business. Hence, commerce is a good option for you followed by a MBA or any management diploma or management distance learning program. U say you r not good in maths and Science then to get the admission criteria in engineering depends on the maths and science scores of 10 +2 , this will become difficult for you. In commerce, Maths and statistics subjects are part of the curriculum but they are not a very high level like in engineering.


Ans : Hello Nikita Congrats on sucessfull completion of your exams. First let us know what are you in intrested after 12th..I mean are you intretsed in physics or arts or languages etc.. which will provide you a good path.

Q : kindly suggest me some good courses and good institute from finance field to boost my carreer and go further. Thanks

Ans : Hi Rajeev, Are you graduate? If yes, You can do MFM (Masters in Financial Management), There are few institutes offering this course. If u interested, I will list out the names.


Comments / Reviews / Queries BSE - Compliance Requirements for Member Brokers Programe

  • i want add for doing the course in stock market which provide placements Posted By : sonali parab, on 25-07-2011 16:37:31
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  • After complicating half day programe we will get the certificate Posted By : krunal, on 23-12-2010 01:40:42
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  • I just want to know about the courses for HR compliance. Please send me the details information about HR compliance course Posted By : rajni, on 01-12-2010 06:06:58
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Disclaimer : The Information about this College & its Courses has been taken from the College website & was last updated on 28th April 2015. We are not responsible for the freshness of the data. Students are advised to visit the official website for the latest information. If you are the administrator of this College & need to update the information, Please write in to us at