| STOCK BROKERS (ALL EXCHANGES) |
Settlement of Running Accounts (applicable to clients who have opted for monthly settlement, as well as
to clients whose accounts have been inactive for over 30 days) |
05.06.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of System audit plan after consultation with auditor at the time of auditor registration |
05.06.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Settlement of Running Accounts (applicable to clients who have opted for monthly settlement, as well as
to clients whose accounts have been inactive for over 30 days) |
06.06.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Disclosure of complaints received and their redressal status, as on 31.05.2026, in accordance with
Investor Charter compliance requirements on the Websites |
07.06.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Upload the details of all complaints received during the month of May, 2026, to Exchange |
07.06.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Disclosure of complaints received and their redressal status, as on 31.05.2026, in accordance with
Investor Charter compliance requirements on the Websites |
07.06.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of Regulatory Freeze and unfreeze Order details by Participants through NSDL e-PASS portal -
NSDL |
07.06.2026 |
| PORTFOLIO MANAGERS |
Disclosure of complaints received and their redressal status, as on 31.05.2026, in accordance with
Investor Charter compliance requirements on the Websites |
07.06.2026 |
| INVESTMENT ADVISORS |
Disclosure of complaints received and their redressal status, as on 31.05.2026, in accordance with
Investor Charter compliance requirements on the Websites |
07.06.2026 |
| RESEARCH ANALYSTS |
Disclosure of complaints received and their redressal status, as on 31.05.2026, in accordance with
Investor Charter compliance requirements on the Websites |
07.06.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Investor Grievances Report (Record of all the BO grievances received at DP, Main / Branch) to CDSL -
NSDL for the month of May 2026 |
10.06.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Online facility for mandatory submissions to CDSL - Details of 2 days' notice given to BO prior to stopping
the process of instructions in case of default in payment |
10.06.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Indictment order disclosures (Information w.r.t. the indictment or any other orders passed against the DP
by any competent authority, if any) to CDSL for the month of May 2026 |
10.06.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of the report of Modification in URL reported to CDSL within 3 days of such changes |
10.06.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Reporting of STR findings with FIU-India by DP to CDSL for the month of May 2026 |
10.06.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Tariff Structure of the DP (Information w.r.t increase in charges/fees providing 30 days’ notice to the BOs,
if any) to CDSL for the month of May 2026 |
10.06.2026 |
| PORTFOLIO MANAGERS |
Uploading of Activity Report- through SEBI portal for the month of May, 2026 |
10.06.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of report for Non-profit organization transactions report by 15th of next month to FIU-Ind to
CDSL |
20.06.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Compliance Report w.r.t Same Mobile Number/Email ID captured for multiple accounts to NSDL |
27.06.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
No. of STR filed with FIU-IND for the month of May, 2026. (Including NIL STR) (BSE) |
Before 30.06.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Cyber Security and Cyber Resilience Audit by the Members of the Exchange for the period ended
31.03.2026 |
30.06.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Conduct of VAPT through Cert-in Auditor for the F.Y. 2025-26 -applicable to Self-certification RE’s, Small
size RE’s, Mid-size RE’s and Qualified RE’s (not categorized as QSB’s) |
30.06.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Conduct of VAPT through Cert-in Auditor for the Half-yearly period- October 2025 - March 2026
(applicable to QSBs |
30.06.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of System Audit Report for the period ended 31.03.2026 |
30.06.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Updation of KMP details (Subject to circular to be issued) |
30.06.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of Cyber audit for the period ended 31.03.2026 (CDSL - NSDL) |
30.06.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of system audit report for the period ended 31.03.2026 (CDSL - NSDL) |
30.06.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Conduct of VAPT through Cert-in Auditor for the FY 2025-26 (Wherever applicable) |
30.06.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Annual Reporting of Artificial Intelligence - Machine Learning |
30.06.2026 |
| PORTFOLIO MANAGERS |
Conduct of VAPT through Cert-in Auditor for the FY 2025-26 (Wherever applicable) |
30.06.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Requirement of sending a complete ‘Statement of Accounts’ for
funds, securi es, and commodi es in respect of each of its clients
(within the next four trading days of the subsequent week) |
Weekly basis |
| STOCK BROKERS (ALL EXCHANGES) |
Uploading of clients mapped with Authorised Persons (AP) before the
next 2 trading days of the subsequent week. |
Weekly basis |
| STOCK BROKERS (ALL EXCHANGES) |
Uploading of day - wise Holding Statement in the Specified Standard format to the exchange (within the next day) (Common Reporting to NSE only if having multiple membership) |
Daily basis |
| STOCK BROKERS (ALL EXCHANGES) |
Uploading of Client - wise Collateral Segregation details to Clearing Corporation - Clearing Member in the prescribed format on T Plus 1 basis |
Daily basis |
