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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 August 2018 1/9/2018 to 7/9/2018
All Exchanges Contingency Drill/Mock Trading Session (Subject to circular to be issued by respective exchanges) 1/9/2018
PMS PMS- Submission of Activity Report through SEBI portal 5/9/2018
Income Tax TDS Payment for the Month of August 2018 for Corporate and Individual. 7/9/2018
NSE NSE- Uploading of margin funding file for the month of August 2018 7/9/2018
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 August, 2018 7/9/2018
Stamp Duty Payment of Stamp duty: Security and Commodity Exchanges 10/9/2018
Depository Investor Grievances (Report) . CDSL & . NSDL 10/9/2018
Income Tax Payment of advance tax 15/9/2018
MSE Uploading of margin funding file for the month of August 2018. 15/9/2018
NSDL & CDSL Submission of Net worth Certificate and balance sheet as at 31.03.2018 30/09/2018
PMS Submission of audit Certificate by Qualified Chartered Accountant to SEBI 30/9/2018
NSE & MSE Annual Returns with Networth certificate and other details as at 31.03.2018. 30/9/2018
Income tax Filling of income tax return for corporate entity & Persons covered under Tax Audit. 30/9/2018
BSE/NSE/ MSE Submission of Corrective Action report for any "Non compliances/Work in progress/Observation/Suggestion" pointed out by the auditor in System audit report for the period ended March 2018. 30/9/2018
BSE No. of STR filed with FIU-IND for the month of August, 2018. (Including NIL STR) Before 30/9/2018
All Equity & Commodity Exchanges Uploading of Clients' Funds, collateral and other details lying with the member broker Weekly basis