All Exchanges |
Guidelines on Margin collection and reporting - Revision in upfront margin penalty guidelines- Ref.
circular No: NSE/INSP/64315 dated:October 01, 2024 |
01.11.2024 |
All Exchanges |
Settlement of running account (For those who has opted for monthly settlement) |
01.11.2024 and 02.11.2024 |
All Exchanges |
Contingency Drill / Mock Trading Session (Subject to circular to be issued by respective exchanges) |
02.11.2024 |
All Members of exchanges/ 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 31.10.2024 (Investor Charter compliance) |
07.11.2024 |
PMS |
PMS- Certification for Activity Report- through SEBI portal for the month of October, 2024 |
Within seven working days |
All Exchanges |
Upload the details of all complaints received during the month of October, 2024 |
07.11.2024 |
Depositary |
Investor Grievances (Report)
CDSL and NSDL |
10.11.2024 |
SEBI |
Implementation of SEBI Circular :-Enhancement of operational efficiency and Risk Reduction - Payout
of securities directly to client demat account -Ref Circular no. SEBI/HO/MIRSD/MIRSDPoD1/P/CIR/2024/75 dated June 05, 2024 (Extended date) |
11.11.2024 |
CDSL |
Submission of CDSL consolidated concurrent and Internal Audit Report for the half Year Ended
30.09.2024 |
15.11.2024 |
NSDL |
Submission of NSDL Internal Audit Report for the half Year Ended 30.09.2024 |
15.11.2024 |
SEBI |
Implementation of SEBI circular for Measures to Strengthen Equity Index Derivatives Framework for Increased Investor Protection and Market Stability Ref circular No: SEBI/HO/MRD/TPD-1/P/CIR/2024/132 dated: October 01, 2024 |
20.11.2024 |
All exchanges |
Submission of quaterly networth certificate for the period ended 30.09.2024 for QSB brokers |
29.11.2024 |
All exchanges/ DP |
Conducting of VAPT (SEBI circular SEBI/HO/MIRSD/TPD/P/CIR/2023/80 dated June, 7, 2023 on
modification in Cyber Security and Cyber resilience framework for Stock Brokers ) |
30.11.2024 |
All exchanges |
Submission of half yearly networth certificate as at 30.09.2024 (Non-MTF) |
30.11.2024 |
All exchanges |
Submission of half yearly Internal audit report for the period ended 30.09.2024 |
30.11.2024 |
All exchanges |
Submission of half yearly ALGO system audit report as at 30.09.2024 |
30.11.2024 |
All exchanges |
Submission of half yearly ALGO Cyber audit report as at 30.09.2024 |
30.11.2024 |
Clearing Corporations |
Submission of half yearly Internal audit report for the period ended 30.09.2024 |
30.11.2024 |
All exchanges |
Submission of Risk Based Supervision for the period ended 30.09.2024 |
30.11.2024 |
NSE/ BSE |
Networth Certificate Submission by clearing member to CC for the period ended 30.09.2024 |
30.11.2024 |
Investment advisors |
Extension in timeline to obtain fresh NISM Certification under Regulation 7(2) of SEBI (Investment
Advisers) Regulations, 2013 Ref. Circular No:20240830-49 dated 30 Aug 2024 |
30.11.2024 |
BSE |
No. of STR filed with FIU-IND for the month of October, 2024. (Including NIL STR) |
Before 30.11.2024 |
NSE/ BSE/ MCX/ NCDEX |
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 |