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Sebi asks brokers, fund houses, others to ensure compliance with prevention of unlawful acts

PTI   

Sebi asks brokers, fund houses, others to ensure compliance with prevention of unlawful acts
Business1 min read
New Delhi, Feb 18 () Capital markets regulator Sebi on Tuesday asked stock brokers, mutual fund houses and other market intermediaries to ensure strict compliance with the prevention of unlawful activities law.

In a statement, Sebi advised market intermediaries to ensure compliance with instructions pertaining to UAPA or The Unlawful Activities (Prevention) Act.

In addition, the regulator has asked market entities to ensure that accounts are not opened in the name of anyone whose name appears in updated list of individuals and entities linked to Taliban and Al-Qaida issued by the United Nation's Security Council.

"Scan all existing accounts to ensure that no accountant is held by or linked to any of the entities or individuals included in the list and also ascertain the same for future accounts," the Securities and Exchange Board of India (Sebi) said.

Also, the market intermediaries have been asked to comply with anti-money laundering guidelines and obligation for combating terrorism financing.

Under anti-money laundering guideline and obligation for combating terrorism financing, Sebi has directed all intermediaries to ensure that "accounts are not opened in the name of anyone whose name appears in updated list of individuals and entities which are subject to various sanction measures such as freezing of assets/accounts, denial of financial services etc, approved by the security council committee established pursuant to various United Nations'' Security Council Resolutions".

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