| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Ease of doing investments - Modified Norms for Nomination in Demat Accounts and Mutual Fund Folios |
01.09.2026 |
| INVESTMENT ADVISORS |
Operationalisation of Past Risk and Return Verification Agency (“PaRRVA”) – Enroll with PaRRVA |
03.09.2026 |
| RESEARCH ANALYSTS |
Operationalisation of Past Risk and Return Verification Agency (“PaRRVA”) – Enroll with PaRRVA |
03.09.2026 |
| 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) |
04.09.2026 - 05.09.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Disclosure of complaints received and their redressal status, as on 31.08.2026, in accordance with Investor Charter compliance requirements on the Websites |
07.09.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Upload the details of all complaints received during the month of August, 2026, to Exchange |
07.09.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Disclosure of complaints received and their redressal status, as on 31.08.2026, in accordance with Investor Charter compliance requirements on the Websites |
07.09.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of Regulatory Freeze and unfreeze Order details by Participants through NSDL e-PASS portal - NSDL |
07.09.2026 |
| PORTFOLIO MANAGERS |
Disclosure of complaints received and their redressal status, as on 31.08.2026, in accordance with Investor Charter Compliance requirements on the Websites |
07.09.2026 |
| PORTFOLIO MANAGERS |
Uploading of Activity Report through SEBI portal for the month of August, 2026 |
07.09.2026 |
| INVESTMENT ADVISORS |
Disclosure of complaints received and their redressal status, as on 31.08.2026, in accordance with Investor Charter Compliance requirements on the Websites and Mobile Applications (if any) |
07.09.2026 |
| RESEARCH ANALYSTS |
Disclosure of complaints received and their redressal status, as on 31.08.2026, in accordance with Investor Charter Compliance requirements on the Websites and Mobile Applications (if any) |
07.09.2026 |
| 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 August 2026 |
10.09.2026 |
| 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 |
10.09.2026 |
| 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 August ,26 |
10.09.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of the report of Modification in URL reported to CDSL within 3 days of such changes |
10.09.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Reporting of STR findings with FIU-India by DP to CDSL for the month of August, 2026 |
10.09.2026 |
| 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 August, 2026 |
10.09.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Implementation of “@valid” UPI IDs for all investors facing collection bank accounts |
10.09.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of report for Non-profit organization transactions report by 15th of next month to FIU-Ind to CDSL |
20.09.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Compliance Report w.r.t Same Mobile Number/Email ID captured for multiple accounts to NSDL |
27.09.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
No. of STR filed with FIU-IND for the month of August, 2026. (Including NIL STR) (BSE) |
Before 30.09.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Communique number CVL/OPS/INTERM/GENRL/26-244 dated August 24, 2026 - Collection of CKYCR No./KIN in KRA Records -Go live |
30.09.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of Action Taken Report for System and Cyber audit for the period ended 31st March, 2026 (If Applicable) |
30.09.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of Action Taken Report for System |
30.09.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Collection of CKYCR No./KIN in KRA Records - Go live (Communique No. CVL/OPS/INTERM/GENRL/26-244 dated August 24, 2026) |
30.09.2026 |
| PORTFOLIO MANAGERS |
Submission of Audit Certificate u/s 30(2) by Qualified Chartered Accountant to APMI (PARAS Portal) for the F.Y. 2025-26 |
30.09.2026 |
| PORTFOLIO MANAGERS |
Submission of Networth Certificate as on 31.03.2026 (Audited) |
30.09.2026 |
| INVESTMENT ADVISORS |
Conducting Annual Compliance Audit for the year ended 31.03.2026 |
30.09.2026 |
| INVESTMENT ADVISORS |
Annual Client Level Segregation Certificate for the year ended 31.03.2026 (Along with Compliance Audit) |
30.09.2026 |
| RESEARCH ANALYSTS |
Conducting Annual Compliance Audit for the year ended 31.03.2026 |
30.09.2026 |
| RESEARCH ANALYSTS |
Annual Client Level Segregation Certificate for the year ended 31.03.2026 (Along with Compliance Audit) |
30.09.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Requirement of sending a complete ‘Statement of Accounts’ for funds, securities, and commodities 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) |
Daily basis |
| STOCK BROKERS (ALL EXCHANGES) |
Uploading of Client-wise Collateral Segregation details to Clearing Corporation/Clearing member in the prescribed format on T 1 basis |
Daily basis |
