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Compliance Calendar

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Compliance Calendar:


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April 2019


Segment Particulars Due Date
All Stock Exchanges / DP Implementation of Cyber security frame work 1/4/2019
All Exchanges Implementations of Single Registration for Uniform Membership Structure 1/4/2019
BSE/NSE/MSE/MCX/NCDEX Contract note serial no. to be setup starting from No.1 1/4/2019
PMS PMS- Uploading of activity report on SEBI Portal 5/4/2019
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 March, 2019 5/4/2019
All Exchanges Contingency Drill Mock Trading session (Subject to circular to be issued from the exchanges) 6/4/2019
NSE NSE - Uploading of margin funding file for the month of March,2019 7/4/2019
BSE BSE - Uploading of margin funding file for the Month of March 2019 7/4/2019
Stamp Duty Payment of Stamp duty: Security and Commodity Exchanges for the month of March, 2019 10/4/2019
Depositary Investor Grievances (Report) . CDSL & . NSDL 10/4/2019
MSE Submission of client funding details for the month of March 2019 14/4/2019
BSE/NSE Submission of complianc certificate by compliance officer for the execution of orders 14/4/2019
NSDL Risk Assessment Template for the period from 01.10.2018 to 31.03.2019 (Subject to circular to be issued from NSDL) 20/4/2019
NSE Issue of STT statements for the F.Y.2018 to clients 30/04/2019
NSE/BSE/MSE Statements of accounts for funds and securities to all clients for the period 1-1-2019 to 31-03-2019 (For non running accounts) 30/4/2019