SEBI Stock Broker License
SEBI Stock Broker License – Overview
To legally operate as a stock broker in India, an individual, partnership, LLP, or company must obtain registration with SEBI and the concerned stock exchange (NSE, BSE, MCX, etc.). The SEBI Stock Broker License allows brokers to execute trades on behalf of clients, provide investment access, and comply with regulatory requirements under the SEBI (Stock Brokers) Regulations, 1992.
Stock brokers are required to meet strict eligibility norms, maintain net worth requirements, and follow compliance rules covering KYC, AML, risk management, disclosures, and investor protection.
At Cardiff Services, we provide end-to-end SEBI Stock Broker License Registration Services in India, assisting applicants with structuring, application filing, exchange approval, and post-registration compliance.
Why Choose Cardiff Services for Stock Broker License Support
At Cardiff Services, we specialize in helping individuals and entities set up stock broking businesses in India. From eligibility checks and documentation to exchange membership approvals and SEBI registration, we handle the entire process end-to-end.
We also provide ongoing compliance, audit, and governance support, ensuring brokers remain regulator-ready while focusing on client growth. With Cardiff Services, your stock broking journey is smooth, compliant, and market-ready.
Key Features of Stock Broker License Support
Eligibility & Structuring: Guidance on meeting net worth and infrastructure requirements.
Application Filing: Assistance in filing stock broker registration with SEBI and stock exchange.
Membership Approval: Support in obtaining exchange membership (NSE/BSE/MCX).
Policy & Compliance Setup: Drafting risk management, KYC/AML, and client onboarding policies.
Post-License Advisory: Ongoing SEBI and exchange compliance support.
Audit & Reporting: Assistance in audit submissions, annual compliance, and inspections.
Documents Required for SEBI Stock Broker License
Certificate of Incorporation / Partnership Deed / LLP Agreement.
MOA & AOA with broking as the main object (for companies).
Net worth certificate from Chartered Accountant.
Income tax returns and audited financial statements.
Infrastructure details (office space, technology setup).
PAN, Aadhaar, and KYC of directors/partners.
Board resolution approving application.
Risk management, KYC/AML, and grievance redressal policies.
Bank account and payment details for fees.
Step-by-Step Procedure for Stock Broker License Registration
Eligibility Assessment – Verify net worth, infrastructure, and governance criteria.
Exchange Membership Application – Apply to NSE/BSE/MCX for membership approval.
SEBI Registration Filing – Submit Form A with supporting documents.
Verification & Clarifications – Respond to SEBI/exchange queries, if any.
Grant of License – Receive SEBI Certificate of Registration as a Stock Broker.
Post-License Setup – Implement risk management and compliance policies.
Ongoing Compliance – File periodic returns, disclosures, and maintain SEBI compliance calendar.
Frequently Asked Questions
A company name search ensures that your chosen business name is unique, legally compliant, and not already registered with Companies House UK. It helps you avoid legal disputes, trademark issues, and confusion in the Cardiff business market.
If your desired name is already registered, you’ll need to choose a different name or modify it. Using a taken name could result in rejection by Companies House or potential legal issues. Our experts can help you brainstorm alternative names that are compliant and market-ready.
It’s not advisable to use a name that’s too similar to another company, especially within the same industry. Similar names can confuse customers and risk trademark disputes. A company name search helps you identify these risks early.
For a company name search in Cardiff, you may need:
Proposed company name
Business entity type (Ltd, LLP, Partnership, etc.)
Jurisdiction (Cardiff / UK)
Owner or shareholder details (if applicable)
Business description
A “high probability” result means your proposed company name is likely to be available, but further checks are recommended. This is why our detailed Cardiff Company Name Search Report includes both identical and similar names for clarity.
Certain words are restricted under UK law (e.g., “bank,” “insurance,” “government”). If you want to use them, you’ll need special approval from regulatory bodies. We guide you through this process if your Cardiff business requires such terms