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Compliance Calendar

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Compliance Calendar:


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May 2018


Segment Particulars Due Date
PMS PMS- Uploading of activity report on SEBI Portal 5/05/2018
All Exchanges Contingency Drill/ Mock Trading Session (Subject to circular to be issued by respective exchanges) 5/05/2018
Income Tax TDS Payment for the Month of April 2018 for Corporate and Individual 7/05/2018
All Exchanges Uploading clients fund balance and securities balances by the stock brokers on stock exchanges system as per SEBI circular of Enhanced supervision for the month of April, 2018 7/05/2018
NSE NSE- Uploading of margin funding file for the month of April 2018 7/05/2018
BSE BSE- Uploading of margin funding file for the month of April 2018 8/05/2018
Stamp Duty Payment of stamp duty: -Security and Commodity Exchanges for the month of April, 2018 10/05/2018
Depository Investor Grievances (Report) for the month of April, 2018 CDSL & NSDL 10/05/2018
CDSL/NSDL Half Yearly Internal Audit Report for the period ended 31.03.2018 15/05/2018
MSE Submission of client funding details for the month of April, 2018 15/05/2018
All Stock Exchanges Disclosures by trading members and their group entities on their holding in various listed companies for the quarter ended 31.03.2018 15/05/2018
MCX / NCDEX Submission of yearly ALGO system audit report as at 31/03/2018 30/05/2018
BSE / NSE / MSE Submission of Risk Based Supervision for the period ended March, 2018 31/05/2018
NSE /BSE /MSE Submission of half yearly Internal audit report 31/05/2018
MCX / NCDEX Submission of half yearly Internal audit report 31/04/2018
MCX / NCDEX Submission of Risk Based Supervision for the period 1st April,2017 to 31st March, 2018 31/05/2018
NSE / MSE Submission of half yearly Net worth Certificate as at 31.03.2018 31/05/2018
NCDEX Submission of half yearly Net worth Certificate as at 31.03.2018 31/05/2018
BSE Uploading of No. of STR filed with FIU-IND for the month of APril 2018 (Including NIL STR) Before 31/05/2018