I Love Stock Market - BBF

Calendar

November 2024

Segment Particulars Due Date
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