I Love Stock Market - BBF

Calendar

October 2023

Segment Particulars Due Date
NSE Administrative actions for misuse of client funds, circular ref. no. NSE/INSP/57097 dated 13.06.2023 01.09.2023
SEBI Extension of SEBI circular for upstreaming -(for certain provisions) Ref. EBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/110 01.09.2023
All Exchanges Settlement of running account (For those who has opted for monthly settlement) 01.09.2023
All Exchanges Validation of KYC by KRA(Circular Ref. NSE\ISE\58027 dated August 18, 2023 and other exchanges) 01.09.2023
NSDL / CDSL Validation of KYC by KRA Circular NSDL-0109 dated August, 18,2023 and CDSL493 dated August 18, 2023 01.09.2023
NSE Penalty Structure related to provisions of Upstreaming of clients’ funds by Stock Brokers (SBs) /Clearing Members (CMs) to Clearing Corporations (CCs) and Bank Guarantees (BGs) created out of clients' funds Circular ref.no. NCL/CMPL/58148 dated 30.08.2023 01.09.2023
All Exchanges Contingency Drill / Mock Trading Session (Subject to circular to be issued by respective exchanges) 02.09.2023
All Members of exchanges/PMS/ RA/IA / DP Publishing the data on complaints received against them or against issues dealt by them and redressal there of on website as on 31.08.2023 (Investor Charter compliance) 07.09.2023
PMS PMS- Certification for Activity Report- through SEBI portal for the month of August,2023 Within seven working days
All Exchanges Upload the details of all complaints received during the month of August, 2023 07.09.2023
Depositary Investor Grievances (Report) CDSL and NSDL 10.09.2023
PMS Annual Audited Netwoth Certificate as at 31.03.2023 30.09.2023
PMS Submission of audit Certificate (Report) by Qualified Chartered Accountant to SEBI for the F.Y. 2022-23 30.09.2023
Investment Advisers Annual Client Level Segregation Certificate-Regulation 22 of amended IA Regulations for the year ended 31.03.2023 30.09.2023
Investment Adviser Annual audit for the year ended 31.03.2023 in respect of compliance of SEBI (Investment Advisers) Regulations, 2013 and circulars issued thereunder- Regulation 19 (3) of the amended IA Regulations 30.09.2023
CDSL / NSDL Submission of Networth Certificate and Audited Financial Statements as at 31.03.2023 30.09.2023
All Exchanges Advisory for SEBI Regulated Entities (REs) regarding Cyber Security best practices Circular Ref. NSE/INSP/57042 Dated: June 9, 2023 and other exchange's circulars issued. 30.09.2023
DP / Exchanges Nomination for eligible trading and Demat Accounts - Circular ref. no. SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/42 dated March 27, 2023 30.09.2023
SEBI Existing BGs created out of clients’ funds shall be wound down SEBI circular no. SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/061 dated 25.04.2023 30.09.2023
MCX Submission of Compliance Letter - Advisory for SEBI Regulated Entities (REs) regarding Cybersecurity best practices- circular ref. no.MCX/TECH/332/2023 dated 22.05.2023 30.09.2023
BSE No. of STR filed with FIU-IND for the month of August, 2023. (Including NIL STR) Before 30.09.2023
NSE/BSE/MCX Uploading of day-wise Holding statement in the specified standard format to exchange (within next day) Daily basis
All Exchanges Uploading of bank account balances to exchange (within next day) Daily basis
All Exchanges "Bank Guarantees (BGs) created out of clients’ funds (Data shall be reported for Saturday of each week on next trading day)" Weekly basis
NSE / BSE Uploading of clients mapped with Authorised Persons (AP) before the next 2 trading days of subsequent week. Weekly basis
NSE/ BSE Reporting of client level cash and Cash Equivalent Balances by trading members to the clearing members on weekly basis (within next four trading days of subsequent week) Weekly basis
NSE "Submission of Bank statement to exchange for all bank accounts maintained with Banks other than listed out in Annexure A of exchange circular on weekly basis (within next four trading days of subsequent week) Ref Circular No. NSE/INSP/48396 dated 25.05.2021" 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
All Exchanges Reporting of client level Cash and Cash Equivalent Balances to exchanges (within next four trading days of subsequent week) Weekly basis
All Exchanges Uploading of Clients’ Funds, collateral and other details lying with the member broker. (Enhanced Supervision within three 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