| 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 |
