| SEBI |
Implementation of SEBI Circular no. SEBI/HO/MRSD/SECFATF/P/CIR/2024/12 dated 20.02.2024
Centralization of certifications under Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standard (CRS) at KYC Registration Agencies (KRAs) |
01.07.2024 |
| SEBI |
Implementation of SEBI Circular no. SEBI/HO/MIRSD/POD-1/P/CIR/2024/4 dated 12.01.2024.
Ease of Doing Investments by Investors- Facility of voluntary freezing/blocking of Trading Accounts by Clients |
01.07.2024 |
| All Exchanges |
Settlement of running account (For those who has opted for monthly settlement) |
05.07.2024 - 06.07.2024 |
| All Exchanges |
Settlement of running account (For quarterly settlement) |
05.07.2024 - 06.07.2024 |
| All Exchanges |
Contingency Drill / Mock Trading Session (Subject to circular to be issued by respective exchanges) |
06.07.2024 |
| PMS |
PMS- Uploading of Activity Report- through SEBI portal for the month of June 2024 |
With in 7 working days |
| All Members of exchanges/ PMS/ RA/ IA/ DP |
Publishing the data on complaints received against them or against issues dealt by them and
redressal thereof on website as on 30.06.2024 (Investor Charter compliance) |
07.07.2024 |
| All Exchanges |
Upload the details of all complaints received during the month of June, 2024 |
07.07.2024 |
| Depositary |
Investor Grievances (Report)
CDSL and NSDL for the month of June, 2024 |
10.07.2023 |
| All Exchanges and DP |
Reporting of Cyber Security incidents for the quarter April, 2024 to June, 2024 |
15.07.2024 |
| All Exchanges and DP |
Submission of Surveillance Obligations report for the quarter ended 30.06.2024 |
15.07.2024 |
| All Exchanges |
Submission of UCC wise quarterly settlement details to exchanges |
16.07.2024 |
| NSDL/ CDSL |
Submission of compliance certificate for the half year ended 30.06.2024 |
31.07.2024 |
| NSE/ BSE |
Submission of Details of AP Inspections undertaken during the quarter ended 30.06.2024 |
31.07.2024 |
| BSE/ NSE |
Submission of Insurance payment Receipt for renewal |
31.07.2024 |
| BSE |
No. of STR filed with FIU-IND for the month of June 2024. (Including NIL STR) |
Before 31.07.2024 |
| NSE/ BSE/ MCX |
Uploading of day-wise Holding statement in the specified standard format to exchange (within next day) |
Daily basis |
| NSE/ BSE/ MCX |
Uploading of clients mapped with Authorised Persons (AP) before the next 2 trading days of
subsequent week. |
Weekly basis |
| All Exchanges |
Requirement of sending a complete ‘Statement of Accounts’ for funds, securities and commodities
in respect of each of its clients (within next four trading days of subsequent week) |
Weekly basis |
| NCDEX |
Uploading of Holding statement in the specified standard format to exchange (within four trading
days of subsequent week) |
Weekly basis |
