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

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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

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Q : Respected sir, Iam pass my hsc (comm.) with 52% in 2002 right know iam working in marketing since last 6 years give me advice for my education which is use full for my present occupation

Ans : Hi Kamlesh, You can go for the Masters with the same stream.

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Q : i completed my graduation in and want to do mba but with a drop of one i dont want to waste my one year, i want to do some course from a reputed institute which have a good,please suggest me.

Ans : There are many reputed institutes for doing mba but their admission criterias are different. Have you applied for any entrance test for mba. What is your percentage score in bcom?

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 : What I do after

Ans :

Dear Devandra,

As you have commerce background you may explore: Chartered Accountancy (CA), Certified Financial Analyst (CFA), Cost Accountancy (from ICWA), Company Secretary Ship (CS), Stock Broking or MBA. If you are interested in any other field, do let us know. To tell you more about the courses/ professions stated above: CAs are Audit and Account experts. Beyond maintaining accounts in a firm, their work includes Accountancy, Auditing, and Cost accountancy, Taxation, Investigation and Consultancy. A CS is a professional whose role in a corporate set up is that of an advisor for legal matters. A CFA is trained in financial management, investment management and management accounting. Today almost all strategic industries like, engineering, chemical, pharmaceutical, steel and oil and service sectors including telecommunication and agriculture sector have been brought in the statutory Cost Accounting and Cost Audit net.


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