REGULATORS on Learn with Akhilesh Gururani /tags/regulators/ Recent content in REGULATORS on Learn with Akhilesh Gururani Learn with Akhilesh Gururani /images/papermod-cover.png /images/papermod-cover.png Hugo -- 0.147.7 en 2026 Learn with Akhilesh Gururani Thu, 11 Jun 2026 00:00:00 +0000 Beyond Compliance: The Stock Broker's Code of Conduct /posts/sec-risk-s2-5-q23-code-of-conduct-for-stock-brokers/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q23-code-of-conduct-for-stock-brokers/ Code of conduct for stock brokers. Companion read for Section 2.5 — REGULATORS. Beyond Custody: The Operational Backbone of Securities Safety /posts/sec-risk-s2-5-q33-general-obligations-and-responsibilities-of-custodians/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q33-general-obligations-and-responsibilities-of-custodians/ General obligations and responsibilities of custodians. Companion read for Section 2.5 — REGULATORS. Beyond KRAs: Mastering the Central KYC Record Registry (CKYCRR) /posts/sec-risk-s2-5-q07-the-role-of-the-central-kyc-record-registry-ckycrr/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q07-the-role-of-the-central-kyc-record-registry-ckycrr/ The role of the Central KYC Record Registry (CKYCRR). Companion read for Section 2.5 — REGULATORS. Beyond the Brochure: Verifying Performance Metrics in Securities Operations /posts/sec-risk-s2-5-q34-verification-of-past-risk-and-return-metrics/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q34-verification-of-past-risk-and-return-metrics/ Verification of past risk and return metrics. Companion read for Section 2.5 — REGULATORS. Beyond the Fine: Operational Realities of Illegal Trading Penalties /posts/sec-risk-s2-5-q21-consequences-and-legal-penalties-for-illegal-trading/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q21-consequences-and-legal-penalties-for-illegal-trading/ Consequences and legal penalties for illegal trading. Companion read for Section 2.5 — REGULATORS. Beyond the Fine: The Mechanics of Regulatory Enforcement in Trading /posts/sec-risk-s2-5-q37-punishments-and-penalties-for-illegal-trading/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q37-punishments-and-penalties-for-illegal-trading/ Punishments and penalties for illegal trading. Companion read for Section 2.5 — REGULATORS. Beyond the Surface: SEBI’s Investigative Reach in Market Operations /posts/sec-risk-s2-5-q12-surveillance-and-investigative-powers-of-sebi/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q12-surveillance-and-investigative-powers-of-sebi/ Surveillance and investigative powers of SEBI. Companion read for Section 2.5 — REGULATORS. Challenging PMLA Orders: Understanding the Appellate Tribunal’s Role /posts/sec-risk-s2-5-q15-appellate-tribunal-procedures-under-pmla/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q15-appellate-tribunal-procedures-under-pmla/ Appellate Tribunal procedures under PMLA. Companion read for Section 2.5 — REGULATORS. Clearing Corporations: The Invisible Architects of Market Stability /posts/sec-risk-s2-5-q29-role-of-clearing-corporations-in-trade-settlement/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q29-role-of-clearing-corporations-in-trade-settlement/ Role of Clearing Corporations in trade settlement. Companion read for Section 2.5 — REGULATORS. Custodial Integrity: Safeguarding Client Assets Beyond Net Worth /posts/sec-risk-s2-5-q05-general-obligations-of-custodians-regarding-client-assets/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q05-general-obligations-of-custodians-regarding-client-assets/ General obligations of custodians regarding client assets. Companion read for Section 2.5 — REGULATORS. Dabba Trading: The Hidden Operational Risk in Indian Markets /posts/sec-risk-s2-5-q31-dabba-trading-and-its-legal-consequences-under-scra/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q31-dabba-trading-and-its-legal-consequences-under-scra/ Dabba Trading and its legal consequences under SCRA. Companion read for Section 2.5 — REGULATORS. Demystifying SEBI Investigation Procedures: From Alerts to Adjudication /posts/sec-risk-s2-5-q24-investigation-processes-by-sebi/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q24-investigation-processes-by-sebi/ Investigation processes by SEBI. Companion read for Section 2.5 — REGULATORS. Demystifying the Depositories Act, 1996: The Bedrock of Electronic Holding /posts/sec-risk-s2-5-q17-scope-of-the-depositories-act-1996/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q17-scope-of-the-depositories-act-1996/ Scope of the Depositories Act, 1996. Companion read for Section 2.5 — REGULATORS. Ensuring Data Integrity: The Critical Role of KRA System Audits /posts/sec-risk-s2-5-q13-auditing-requirements-for-kra-systems/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q13-auditing-requirements-for-kra-systems/ Auditing requirements for KRA systems. Companion read for Section 2.5 — REGULATORS. Evaluating Exchange Eligibility: The Gatekeeper’s Operational Prerogative /posts/sec-risk-s2-5-q10-recognized-stock-exchange-eligibility-criteria/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q10-recognized-stock-exchange-eligibility-criteria/ Recognized stock exchange eligibility criteria. Companion read for Section 2.5 — REGULATORS. Going Beyond Standard KYC: Mastering Enhanced Due Diligence /posts/sec-risk-s2-5-q22-enhanced-due-diligence-edd-requirements-under-pmla/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q22-enhanced-due-diligence-edd-requirements-under-pmla/ Enhanced Due Diligence (EDD) requirements under PMLA. Companion read for Section 2.5 — REGULATORS. Maintaining Market Integrity Through Regulatory Segregation at Exchanges /posts/sec-risk-s2-5-q39-segregation-of-regulatory-departments-in-stock-exchanges/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q39-segregation-of-regulatory-departments-in-stock-exchanges/ Segregation of regulatory departments in stock exchanges. Companion read for Section 2.5 — REGULATORS. Managing Corporate Actions: The Custodian’s Role in Asset Integrity /posts/sec-risk-s2-5-q20-responsibilities-of-custodians-in-corporate-actions/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q20-responsibilities-of-custodians-in-corporate-actions/ Responsibilities of custodians in corporate actions. Companion read for Section 2.5 — REGULATORS. Mastering Enhanced Due Diligence: Beyond Basic KYC Compliance /posts/sec-risk-s2-5-q32-enhanced-due-diligence-and-reporting-requirements-under-pmla/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q32-enhanced-due-diligence-and-reporting-requirements-under-pmla/ Enhanced due diligence and reporting requirements under PMLA. Companion read for Section 2.5 — REGULATORS. Mastering Reporting Obligations: The Role of the FIU-IND /posts/sec-risk-s2-5-q01-understanding-the-roles-of-the-financial-intelligence-unit-fiu-and-reporting-requirements/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q01-understanding-the-roles-of-the-financial-intelligence-unit-fiu-and-reporting-requirements/ Understanding the roles of the Financial Intelligence Unit (FIU) and reporting requirements. Companion read for Section 2.5 — REGULATORS. Mastering the KRA Infrastructure: Beyond Simple Document Collection /posts/sec-risk-s2-5-q26-role-and-duties-of-kyc-registration-agencies-kras/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q26-role-and-duties-of-kyc-registration-agencies-kras/ Role and duties of KYC Registration Agencies (KRAs). Companion read for Section 2.5 — REGULATORS. Navigating Algorithmic Trading Controls and Risk Parameters /posts/sec-risk-s2-5-q08-framework-for-algorithmic-trading-in-the-indian-market/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q08-framework-for-algorithmic-trading-in-the-indian-market/ Framework for algorithmic trading in the Indian market. Companion read for Section 2.5 — REGULATORS. Navigating Exchange Surveillance: Your Role in Market Integrity /posts/sec-risk-s2-5-q02-market-surveillance-mechanisms-used-by-stock-exchanges/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q02-market-surveillance-mechanisms-used-by-stock-exchanges/ Market surveillance mechanisms used by Stock Exchanges. Companion read for Section 2.5 — REGULATORS. Navigating Investor Disputes: Understanding the SEBI Arbitration Mechanism /posts/sec-risk-s2-5-q06-arbitration-mechanisms-for-grievances-involving-registered-brokers/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q06-arbitration-mechanisms-for-grievances-involving-registered-brokers/ Arbitration mechanisms for grievances involving registered brokers. Companion read for Section 2.5 — REGULATORS. Navigating PMLA Appeals: The Role of the Appellate Tribunal /posts/sec-risk-s2-5-q25-appellate-tribunals-under-the-pmla/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q25-appellate-tribunals-under-the-pmla/ Appellate Tribunals under the PMLA. Companion read for Section 2.5 — REGULATORS. Navigating Public Issues: SEBI's Role in Protecting Investors /posts/sec-risk-s2-5-q19-sebi-s-role-in-public-issue-management/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q19-sebi-s-role-in-public-issue-management/ SEBI's role in public issue management. Companion read for Section 2.5 — REGULATORS. Navigating SEBI Regulatory Investigations in Operations /posts/sec-risk-s2-5-q30-regulatory-actions-and-investigations-by-sebi/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q30-regulatory-actions-and-investigations-by-sebi/ Regulatory actions and investigations by SEBI. Companion read for Section 2.5 — REGULATORS. Navigating the Defenses: Exoneration in Insider Trading Allegations /posts/sec-risk-s2-5-q28-exonerating-circumstances-in-insider-trading-charges/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q28-exonerating-circumstances-in-insider-trading-charges/ Exonerating circumstances in insider trading charges. Companion read for Section 2.5 — REGULATORS. Navigating the Web of 'Deemed to be Connected' Persons /posts/sec-risk-s2-5-q14-the-deemed-to-be-connected-categories/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q14-the-deemed-to-be-connected-categories/ The 'deemed to be connected' categories. Companion read for Section 2.5 — REGULATORS. Navigating the Web of Connected Persons in PIT Compliance /posts/sec-risk-s2-5-q04-the-definition-of-connected-person-in-pit-regulations/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q04-the-definition-of-connected-person-in-pit-regulations/ The definition of 'Connected Person' in PIT regulations. Companion read for Section 2.5 — REGULATORS. Navigating Trading Restrictions: Essential Protocols for Market Insiders /posts/sec-risk-s2-5-q27-trading-restrictions-for-insiders/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q27-trading-restrictions-for-insiders/ Trading restrictions for insiders. Companion read for Section 2.5 — REGULATORS. Navigating Trading Window Closures in Securities Operations /posts/sec-risk-s2-5-q11-trading-window-closure-requirements/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q11-trading-window-closure-requirements/ Trading window closure requirements. Companion read for Section 2.5 — REGULATORS. Navigating Unpublished Price Sensitive Information in Daily Operations /posts/sec-risk-s2-5-q38-unpublished-price-sensitive-information-upsi-illustrative-list/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q38-unpublished-price-sensitive-information-upsi-illustrative-list/ Unpublished Price Sensitive Information (UPSI) illustrative list. Companion read for Section 2.5 — REGULATORS. Professional Standards: Why Your Code of Conduct is Your Shield /posts/sec-risk-s2-5-q09-code-of-conduct-requirements-for-stock-brokers/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q09-code-of-conduct-requirements-for-stock-brokers/ Code of conduct requirements for stock brokers. Companion read for Section 2.5 — REGULATORS. Synchronizing KYC: Mastering CKYCRR Integration for Seamless Operations /posts/sec-risk-s2-5-q36-integration-with-ckycrr/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q36-integration-with-ckycrr/ Integration with CKYCRR. Companion read for Section 2.5 — REGULATORS. The Operational Vitality of Depository Participants in Market Settlement /posts/sec-risk-s2-5-q03-functions-of-depository-participants-dps/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q03-functions-of-depository-participants-dps/ Functions of Depository Participants (DPs). Companion read for Section 2.5 — REGULATORS. The Vital Role of Depository Participants in Settlement /posts/sec-risk-s2-5-q18-role-and-functions-of-depository-participants/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q18-role-and-functions-of-depository-participants/ Role and functions of Depository Participants. Companion read for Section 2.5 — REGULATORS. Understanding SEBI’s Regulatory Reach: Beyond the Rulebook /posts/sec-risk-s2-5-q16-roles-and-powers-of-sebi-under-the-sebi-act-1992/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q16-roles-and-powers-of-sebi-under-the-sebi-act-1992/ Roles and powers of SEBI under the SEBI Act, 1992. Companion read for Section 2.5 — REGULATORS. Understanding the Adjudicating Authority: Beyond the Investigative Process /posts/sec-risk-s2-5-q35-powers-of-the-adjudicating-authority/ Thu, 11 Jun 2026 00:00:00 +0000 /posts/sec-risk-s2-5-q35-powers-of-the-adjudicating-authority/ Powers of the Adjudicating Authority. Companion read for Section 2.5 — REGULATORS.