Institution record
Kotak Securities
- Source score
- 7.0
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (banks and deposit-taking institutions) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
Securities and Exchange Board of India | INZ000200137 | Regulated | KOTAK SECURITIES LIMITED | 1995-10-19 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Kotak Securities against peer institutions in our banks and deposit-taking institutions dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Kotak Securities (this record) | SEBI | 1 / 1 | Risk level not supplied | 7.0 | 0 |
SEBI | 1 / 1 | Risk level not supplied | 6.0 | 0 | |
SEBI | 1 / 1 | Risk level not supplied | 6.0 | 0 | |
SEBI | 1 / 1 | Risk level not supplied | 4.0 | 0 | |
SEBI | 1 / 1 | Risk level not supplied | 4.0 | 0 | |
SEBI | 1 / 1 | Risk level not supplied | 3.0 | 0 |
Kotak Securities: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Kotak Securities's regulatory licence status and supervisory authorisation?
In our imported dataset, Kotak Securities (legal entity reference: Kotak Securities) holds 1 recorded licence entry, of which 1 carries a "regulated" status and 1 are marked regulated or registered: SEBI (Securities and Exchange Board of India) — licence INZ000200137, status: regulated. Institutional due diligence requires verifying that the exact legal entity on your counterparty agreement matches the licensed entity name and registration number on the official SEBI public register.
Which of Kotak Securities's jurisdictions and licences fall within this site's regulatory coverage?
Kotak Securities is registered at Mumbai IN,Maharashtra,Mumbai,400051 and tracked under our banks and deposit-taking institutions scope based on its institutional service profile (Stocks, Futures, Options, Funds) rather than a domestic focus licence. Its 1 recorded licence (SEBI) should be evaluated for cross-border passporting and local solicitation rules.
What is Kotak Securities's institutional risk classification, enforcement exposure, and score profile?
Kotak Securities carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 7.0, risk & licensing: 8.0, brand: 8.0, market influence: 7.0, user reputation: 0.0). The record flags 0 regulatory warning or complaint counts. Because these figures reflect imported source fields rather than primary audit findings, compliance teams should review primary enforcement bulletins directly.
What operational due diligence steps apply to Kotak Securities's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Kotak Securities (listed execution software: Kotak Neo: Stock, FnO, IPO, MF), institutional and retail allocators should: (1) confirm the domain (not supplied in source) against regulator-approved domains to guard against clone firms; (2) verify whether any of the 0 recorded warning/complaint entries or 0 user comments involve withdrawal restrictions or scope violations; and (3) confirm the dispute-resolution ombudsman tied to SEBI.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from FinLexicon Wiki relevant to Kotak Securities's supervisory scope.
Central Clearing & Repo Architecture
Expanded Risk-Based Approach (ERBA) Basel III Endgame Standard: Buy-Side Institutional Impact: Hedge Funds, MMFs & Asset Managers (-4.8% Cat I/II CET1 Change Benchmark)
Expanded Risk-Based Approach (ERBA) Basel III Endgame Standard (BASEL-ERBA-2026) stands at -4.8% (Cat I/II CET1 Change) (Source: Federal Reserve / OCC / FDIC, 2026-10-20), governing done-away execution access, CCLF fee p
ISDA & Counterparty Credit Lexicon
SEC Rule 17ad-22(e)(18) U.S. Treasury Central Clearing Mandate: Buy-Side Institutional Impact: Hedge Funds, MMFs & Asset Managers (100% Eligible Repo Scope Benchmark)
SEC Rule 17ad-22(e)(18) U.S. Treasury Central Clearing Mandate (SEC-UST-CLEARING) stands at 100% (Eligible Repo Scope) (Source: U.S. Securities and Exchange Commission, 2026-10-20), governing done-away execution access,
Prudential Regulation & Capital Standards
FICC Sponsored Member Repo (SMR) Done-With & Done-Away Clearing: Buy-Side Institutional Impact: Hedge Funds, MMFs & Asset Managers ($1.95T Daily Sponsored Volume Benchmark)
FICC Sponsored Member Repo (SMR) Done-With & Done-Away Clearing (FICC-SPONSORED-REPO) stands at $1.95T (Daily Sponsored Volume) (Source: DTCC Fixed Income Clearing Corp, 2026-10-20), governing done-away execution access,
Central Clearing & Repo Architecture
Basel III 72.5% Standardized Risk-Weighted Asset (RWA) Output Floor: Buy-Side Institutional Impact: Hedge Funds, MMFs & Asset Managers (72.5% Minimum RWA Floor Benchmark)
Basel III 72.5% Standardized Risk-Weighted Asset (RWA) Output Floor (BCBS-OUTPUT-FLOOR) stands at 72.5% (Minimum RWA Floor) (Source: Basel Committee (BCBS d424), 2026-10-20), governing done-away execution access, CCLF fe