| All Exchanges/DP/TM/CM |
Implementation of SEBI circular dated 20 June 2019 for Handling of Client Securities by Trading Members/Clearing Members |
01/10/2019 |
| BSE |
BSE - Uploading of margin funding file for the month of September 2019 |
01/10/2019 to 08/10/2019 |
| All Exchanges |
Contingency Drill / Mock Trading Session (Subject to circular to be issued by respective exchanges) |
05/10/2019 |
| PMS |
PMS- Uploading of activity report on SEBI Portal |
05/10/2019 |
| Income Tax |
TDS Payment for the Month of September 2019 for Corporate and Individual |
07/10/2019 |
| NSE |
NSE - Uploading of margin funding file for the month of September 2019 |
07/10/2019 |
| All Exchanges |
Uploading clients' fund balance and securities balances by the stock brokers on stock
exchanges system as per SEBI circular of Enhanced supervision for the month of September 2019 |
07/10/2019 |
| MCX |
Reporting of cyber security incidents for the quarter ending September 2019 |
09/10/2019 |
| Stamp Duty |
Payment of Stamp duty: Security and Commodity Exchanges for the month of September, 2019 |
10/10/2019 |
| BSE/NSE/MCX/NCDEX/CDSL/NSDL |
Reporting of Artificial Intelligence (AI) and Machine Learning (ML) applications and systems offered & used by market intermediaries |
15/10/2019 |
| MSE |
Submission of margin funding details for the month of September 2019 |
15/10/2019 |
| BSE/NSE |
Submission of Compliance certificate by compliance officer for execution of orders for quarter ended September 2019 |
15/10/2019 |
| NSE/NSDL/BSE |
Reporting of cyber security incidents for the quarter ending September 2019 |
15/10/2019 |
| CDSL/NCDEX |
Reporting of cyber security incidents for the quarter ending September 2019 (subject to circular) |
15/10/2019 |
| PMS |
Half-yearly reporting by PMS |
30/10/2019 |
| BSE/NSE |
Submission of Networth and Compliance Certificate for half-year ended September 2019 |
31/10/2019 |
| BSE/NSE/MSE |
Statement of Accounts for funds & Securities to the clients for the quarter ended September 2019 (non-running accounts) |
31/10/2019 |
| MCX |
Statement of Accounts to the clients for the quarter ended September 2019 |
31/10/2019 |
| NCDEX |
Statement of Accounts to the clients for the half-year ended September 2019 |
31/10/2019 |
| BSE/NSE/MSE/MCX/NCDEX |
Submission of Annual returns with Networth Certificate as on 31.03.2019
| 31/10/2019 |
| MSE |
Submission of Compliance certificate by compliance officer for execution of orders for quarter ended September 2019 |
31/10/2019 |
| CDSL/NSDL |
Risk Assessment Template for the period 01.04.2019 to 30.09.2019 (subject to circular issuance) |
31/10/2019 |
| BSE |
No. of STR filed with FIU-IND for the month of September 2019 (Including NIL STR) |
Before 31/10/2019 |
| All Equity and Commodity Exchanges |
Uploading of Clients’ Funds, collateral and other details lying with the member broker |
Weekly Basis |
| All Stock Exchanges |
Applicability of uploading of day-wise Holding statement in the specified standard format to exchange within 4 trading days of subsequent week |
Weekly Basis |
