Mumbai, November 4:
Securities and Exchange Board of India (SEBI) Chairman Tuhin Kanta Pandey has called on financial intermediaries to uphold thest stanhe higdards of integrity, transparency, and operational resilience as India\u2019s capital markets grow rapidly. Speaking at the Morningstar Investment Conference in Mumbai, Pandey said the real differentiator for market institutions will not be how quickly they comply with regulations but how deeply they internalise them.<\/p>\n
\u201cThe strongest and most respected firms will be those that see compliance not as a ceiling, but as a foundation,\u201d said Pandey. He emphasised that institutions must build upon this foundation with a culture of integrity, resilience, and transparency that continuously earns investor trust.<\/p>\n
He added that the ultimate measure of success lies in how effectively intermediaries resolve advances, ensure accurate settlements, and maintain transparent disclosures. \u201cInstitutions must make such transparency a habit,\u201d he said.<\/p>\n
Also Read:<\/strong> Bharti Airtel Shares Rise After Strong Q2 FY26 Results<\/a><\/em><\/p>\n Pandey highlighted the critical role of financial intermediaries in maintaining investor trust and market integrity. He warned that if investor confidence is compromised, market liquidity could suffer.<\/p>\n \u201cInvestor protection and market integrity are often used as regulatory slogans, but they must translate into real-life practice,\u201d he said. \u201cThe intermediary sits at the junction of these two tracks and must act decisively to deliver on both promises.\u201d<\/p>\n The SEBI chief noted that intermediaries are now operating in an environment shaped by digital acceleration, global market linkages, and evolving investor expectations.<\/p>\n He identified cybersecurity as a major concern, urging firms to safeguard sensitive client data and critical infrastructure. \u201cThird-party and outsourcing risks have grown with reliance on technology vendors and service providers, requiring stronger oversight and due diligence,\u201d Pandey said.<\/p>\n Pandey stressed that today\u2019s investors demand fairness and transparency in every transaction. He also noted that algorithmic and high-frequency trading, while improving market efficiency, brings new vulnerabilities. \u201cThese technologies demand robust risk controls, real-time monitoring, and strict compliance safeguards,\u201d he said.<\/p>\n Pandey underscored that operational resilience is now critical as markets face volatility and digital transformation. \u201cInvestors expect speed and personalisation, but they also expect reliability,\u201d he said.<\/p>\n He called for timely grievance redressal as a key measure of investor trust, adding that firms must foster a culture of vigilance and adaptability to maintain market confidence.<\/p>\n Pandey outlined SEBI\u2019s recent steps to simplify compliance and modernise frameworks. These include enabling intermediaries to file compliance reports through a single exchange and introducing UPI Verify to streamline investor transactions.<\/p>\n He also said SEBI is reviewing the Stock Broker Regulations, 1992, to make them more relevant. A key proposal allows individuals who bought physical securities before April 2019 but couldn\u2019t transfer them earlier to now complete those transfers \u2014 a move expected to benefit long-term investors.<\/p>\n Pandey noted that a circular on this proposal may be released by December.<\/p>\n Concluding his address, the SEBI Chairman said: Click here to explore: Mumbai, November 4:Securities and Exchange Board of India (SEBI) Chairman Tuhin Kanta Pandey has called on financial intermediaries to uphold thest stanhe higdards of integrity, transparency, and operational resilience as India\u2019s capital markets grow rapidly. Speaking at the Morningstar Investment Conference in Mumbai, Pandey said the real differentiator for market institutions will not be how […]<\/p>\n","protected":false},"author":7,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[1362],"tags":[],"ppma_author":[1384],"class_list":["post-16715","post","type-post","status-publish","format-standard","has-post-thumbnail","category-finance-and-economy-news"]," _eael_post_view_count":0,"authors":[{"term_id":1384,"user_id":7,"is_guest":0,"slug":"jitesh-kanwariya","display_name":"Jitesh Kanwariya","avatar_url":{"url":"https:\/\/trending.niftytrader.in\/wp-content\/uploads\/2025\/08\/Jitesh-Kanwriya.jpeg","url2x":"https:\/\/trending.niftytrader.in\/wp-content\/uploads\/2025\/08\/Jitesh-Kanwriya.jpeg"},"0":null,"1":"","2":"","3":"","4":"","5":"","6":"","7":""}],"_links":{"self":[{"href":"https:\/\/www.niftytrader.in\/markets\/wp-json\/wp\/v2\/posts\/16715","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.niftytrader.in\/markets\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.niftytrader.in\/markets\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.niftytrader.in\/markets\/wp-json\/wp\/v2\/users\/7"}],"replies":[{"embeddable":true,"href":"https:\/\/www.niftytrader.in\/markets\/wp-json\/wp\/v2\/comments?post=16715"}],"version-history":[{"count":2,"href":"https:\/\/www.niftytrader.in\/markets\/wp-json\/wp\/v2\/posts\/16715\/revisions"}],"predecessor-version":[{"id":16719,"href":"https:\/\/www.niftytrader.in\/markets\/wp-json\/wp\/v2\/posts\/16715\/revisions\/16719"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/www.niftytrader.in\/markets\/wp-json\/wp\/v2\/media\/16718"}],"wp:attachment":[{"href":"https:\/\/www.niftytrader.in\/markets\/wp-json\/wp\/v2\/media?parent=16715"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.niftytrader.in\/markets\/wp-json\/wp\/v2\/categories?post=16715"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.niftytrader.in\/markets\/wp-json\/wp\/v2\/tags?post=16715"},{"taxonomy":"author","embeddable":true,"href":"https:\/\/www.niftytrader.in\/markets\/wp-json\/wp\/v2\/ppma_author?post=16715"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}Investor Trust and Market Integrity Must Go Beyond Slogans<\/h2>\n
Rising Digital Risks and the Need for Oversight<\/h2>\n
Clean and Auditable Books Essential for Trust<\/h2>\n
\u201cInvestors expect not just access to the market but access on fair terms \u2014 with clarity in transactions, execution, and payouts,\u201d he said. \u201cIntermediaries must ensure that their own books and blind flows are clean, separate, and auditable.\u201d<\/p>\nOperational Resilience and Grievance Redressal<\/h2>\n
SEBI\u2019s Ongoing Reforms and Regulatory Updates<\/h2>\n
Leadership Through Integrity<\/h3>\n
\u201cWhen institutions lead with integrity, markets follow. And when markets follow, investors gain confidence.\u201d<\/p>\n
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