Compliance Calendar


Compliance Calendar:


August 2019

Segment Particulars Due Date
All Exchanges Implementation of circular for Reporting of Trading Member wise Collateral details by Clearing Members 01/08/2019
All Exchanges Contingency Drill / Mock Trading Session (Subject to circular to be issued by respective exchanges) 03/08/2019
CDSL/NSDL Implementation of circular of CDSL & NSDL for updated list of reason codes for off-market transactions 03/08/2019
PMS PMS- Uploading of activity report on SEBI Portal 05/08/2019
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 July, 2019 07/08/2019
Income Tax TDS Payment for the Month of July 2019 for Corporate and Individual 07/08/2019
NSE NSE - Uploading of margin funding file for the month of July,2019 through ENIT 07/08/2019
BSE BSE - Uploading of margin funding file for the month of July 2019 08/08/2019
Stamp Duty Payment of Stamp duty: Security and Commodity Exchanges for the month of July, 2019 10/08/2019
Depository Investor Grievances (Report) CDSL & NSDL 10/08/2019
All Exchanges Disclosure by trading members and their group entities on their holding in various listed companies for the quarter ended 30th June 2019 14/08/2019
MSE Submission of client funding details for the month of July 2019 14/08/2019
MCX/NCDEX System Audit Action taken report 31/08/2019
All Exchanges/ DP/ TM/ CM Implementation of SEBI circular for Handling of securities by Trading Members/Clearing Members 31/08/2019
BSE No. of STR filed with FIU-IND for the month of July, 2019 (Including NIL STR) Before 31/08/2019
All Equity and Commodity Exchanges Uploading of Clients’ Funds, collateral and other details lying with the member broker Weekly Basis
All Stock Exchanges Applicability of uploading of day-wise Holding statement in the specified standard format to exchange within 4 trading days of subsequent week Weekly Basis