| CDSL/ NSDL |
Execution of ‘Demat Debit and Pledge Instruction’ (DDPI) for transfer of securities towards
deliveries / settlement obligations and pledging / re-pledging of securities ref. SEBI/HO/MIRSD/DoP/P/CIR/2022/44 dated4.4.2022 |
01.09.2022 |
| All Exchanges |
Contingency Drill / Mock Trading Session (Subject to circular to be issued by respective exchanges) |
03.09.2022 |
| 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 31.08.2022 (Investor Charter compliance) |
07.09.2022 |
| PMS |
PMS- Certification for Activity Report- through SEBI portal for the month of August,2022 |
07.09.2022 |
| Income Tax |
TDS Payment for the Month of August 2022 for Corporate and Individual. |
07.09.2022 |
| Depositary |
Investor Grievances (Report)
CDSL and NSDL |
10.09.2022 |
| All Exchanges/ DP |
Adherence to KYC requirements for Sikkim based clients |
15.09.2022 |
| PMS |
Annual Netwoth Certificate as at 31.03.2022 |
30.09.2022 |
| PMS |
Submission of audit Certificate (Report) by Qualified Chartered Accountant to SEBI for the
F.Y. 2021-22 |
30.09.2022 |
| Investment Advisers |
Annual Client Level Segregation Certificate-Regulation 22 of amended IA Regulations |
30.09.2022 |
| Investment Adviser |
Annual audit in respect of compliance of SEBI (Investment Advisers) Regulations, 2013
and circulars issued thereunder- Regulation 19 (3) of the amended IA Regulations |
30.09.2022 |
| BSE |
No. of STR filed with FIU-IND for the month of August, 2022. (Including NIL STR) |
Before 30.09.2022 |
| 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 |
| All Exchanges |
Submission of Bank statement to exchange on weekly basis (within next four 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 |
| All Exchanges |
Reporting of client level Cash and Cash Equivalent Balances and Bank account balances
(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 |
| All Exchanges |
Uploading of day-wise Holding statement in the specified standard format to exchange
(within four trading days of subsequent week) |
Weekly basis |
