बाजार मध्यवर्ती विनियमन एवं पर्यवेक्षण विभाग (बाजार मध्यवर्ती विनियमन एवं पर्यवेक्षण विभाग)

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The Market Intermediaries Regulation and Supervision Department is responsible for the registration, supervision, compliance monitoring and inspections of all market intermediaries in respect of all segments of the markets viz. equity, equity derivatives, currency derivatives, debt and debt related derivatives and commodity derivatives. The Department also handles the work related to registration, supervision, compliance monitoring, inspections, investor grievances and policy related issues as well as fees of various intermediaries viz Stock Brokers, Depository Participants, Registrar and Share Transfer Agent, KYC Registration Agency, Investment Adviser and Research Analyst. The Department also handles the work related to action against the mentioned intermediaries for regulatory violations.

Divisions in MIRSD

1.       Registration, Approvals, Correspondences (RAC)

Ø  Division of Registration 1 (TM, CM, DP)

Ø  Division of Registration 2 (RTA,KRA,RA, IA)

2.       Supervision, Enforcement and Complaints (SEC)

Ø  Division of Supervision 1

Ø  Division of Supervision 2

Ø  Division of Supervision 3 and Complaints

Ø  Division of Post Inspection Enforcement Action

Ø  Division of FATF

3.       Policy and Development (PoD)

Ø  Division of Policy- Regulation

Ø  Division of Policy- Development

4.       Technology, Process Re-engineering, Data Analytics (TPD)