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Compliance Calendar

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Compliance Calendar:


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September 2018


Segment Particulars Due Date
BSE BSE - Uploading of margin funding file for the month of October 2018 01/11/2018 to 08/11/2018
All Exchanges Contingency Drill/Mock Trading Session(subject to circular from respective exchanges) 03/11/2018
PMS PMS uploading of activity report on SEBI portal 05/11/2018
All Exchanges Uploading clients fund balance and securities balance by the stock brokers on stock exchanges system as per SEBI circular of Enhanced supervision(subject to circular from respective exchanges) 07/11/2018
Income Tax TDS Payment for the Month of October 2018 for Corporate and Individual. 07/11/2018
NSE NSE- Uploading of margin funding file for the month of october 2018 07/11/2018
Stamp Duty Payment of Stamp duty: Security and Commodity Exchanges 10/11/2018
Depository Investor Grievances (Report) . CDSL & . NSDL 10/11/2018
All Stock Exchanges Disclosures by trading members and their group entities on their holding in various listed companies for the quarter ended 30.09.2018 14/11/2018
CDSL Submission of CDSL consolidated concurrent & internal Audit report for the half year ended 30/09/2018 15/11/2018
NSDL Submission of NSDL internal Audit report for the half year ended 30/09/2018 15/11/2018
MSE Uploading of margin funding file for the month of September 2018. 15/11/2018
NSE/MSE/NCDEX/MCX Submission of half yearly networth certificate as at 30/09/2018 30/11/2018
BSE/NSE/MSE/ Uploading of Risk based supervision 30/11/2018
NCDEX/MCX/ Uploading of Risk based supervision 30/11/2018
BSE/NSE/MSE Submission of half yearly internal audit report 30/11/2018
All commodity exchanges Submission of half yearly internal audit report 30/11/2018
BSE/NSE/MSE/ Submission of half yearly ALGO system audit report as at 30/09/2018 30/11/2018
NCDEX/MCX/ Submission of half yearly ALGO system audit report as at 30/09/2018 30/11/2018
BSE No. of STR filed with FIU-IND for the month of October, 2018. (Including NIL STR) Before 30/11/2018
All Equity & Commodity Exchanges Uploading of Clients' Funds, collateral and other details lying with the member broker Weekly basis