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Informist, Friday, Aug. 7, 2026

 

MUMBAI – The Securities and Exchange Board of India Friday said it has streamlined inspections of stockbrokers and depository participants by mandating joint inspection by stock exchanges and depositories. SEBI has enhanced the inspection of intermediaries based on discussions with market infrastructure institutions and the supervisory body for investment advisers and research analysts, the regulator said in a press release.

 

"The regulatory oversight of market intermediaries has been strengthened by employing a dynamic approach to encompass new risk parameters for identifying and shortlisting of entities for inspections," SEBI said. It has taken steps to enhance the ease of doing business for intermediaries, such as rationalising the targeted number of inspections for the financial year 2026-27 (Apr-Mar) to around one-third of those in FY26.

 

SEBI has discontinued repetitive annual inspections of compliant entities, particularly qualified stockbrokers. "However, entities that repeatedly feature across shortlisting parameters over time, carry high 'risk scores', or trigger multiple alerts processed by exchanges are being prioritised," it said. Inspections of entities with several intermediary registrations will be conducted jointly by different departments of the regulator, wherever feasible.

 

"Further, inspections are being undertaken based on market intelligence/references including inputs received from ROs/LOs (regional offices/local offices), covering themes including but not limited to technical glitches, cyber incidents and authorised persons of stock brokers based on references received," the market regulator said.  End

 

Reported by Ashutosh Pati

Edited by Shubhayan Bhattacharya

 

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