| STOCK BROKERS (ALL EXCHANGES) |
Disclosure of complaints received and their redressal status, as on 31.10.2025, in accordance with
Disclosure of complaints received and their redressal status, as on 31.10.2025, in accordance with
Investor Charter compliance requirements on the Websites |
07.11.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Upload the details of all complaints received during the month of October, 2025, to Exchange |
07.11.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Disclosure of complaints received and their redressal status, as on 31.10.2025, in accordance with
Investor Charter compliance requirements on the Websites |
07.11.2025 |
| PORTFOLIO MANAGERS |
Disclosure of complaints received and their redressal status, as on 31.10.2025, in accordance with
Investor Charter compliance requirements on the Websites |
07.11.2025 |
| INVESTMENT ADVISORS |
Disclosure of complaints received and their redressal status, as on 31.10.2025, in accordance with
Investor Charter compliance requirements on the Websites |
07.11.2025 |
| RESEARCH ANALYSTS |
Disclosure of complaints received and their redressal status, as on 31.10.2025, in accordance with
Investor Charter compliance requirements on the Websites |
07.11.2025 |
| 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 October 2025 |
10.11.2025 |
| 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 |
10.11.2025 |
| 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 October ,2025 |
10.11.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of the report of Modification in URL reported to CDSL within 3 days of such changes |
10.11.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Reporting of STR findings with FIU-India by DP to CDSL for the month of October, 2025 |
10.11.2025 |
| 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 October, 2025 |
10.11.2025 |
| PORTFOLIO MANAGERS |
Uploading of Activity Report- through SEBI portal for the month of October, 2025 |
11.11.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Relaxation in timeline to submit net worth certificate by Stock Brokers to offer margin trading facility
to their clients the half year ended on September 30 ref Circular No: SEBI/HO/MRD/MRD-PoD-
2/P/CIR/2025/120 Dated: August 26, 2025 |
15.11.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of CDSL consolidated concurrent - Internal Audit Report for the half Year Ended
30.09.2025 |
15.11.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of NSDL Internal Audit Report for the half Year Ended 30.09.2025 |
15.11.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of report for Non-profit organization transactions report by 15th of next month to FIU-Ind |
20.11.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Compliance Report w.r.t Same Mobile Number/Email ID captured for multiple accounts to NSDL |
25.11.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of quarterly networth certificate for the period ended 30.09.2025 for QSB brokers |
29.11.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Internal audit report for clearing member (CM) the quarter ending September 30, 2025 |
30.11.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of half yearly networth certificate as at 30.09.2025 (Non-MTF) |
30.11.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of half yearly Internal audit report for the period ended 30.09.2025 |
30.11.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of half yearly ALGO system audit report as at 30.09.2025 |
30.11.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of half yearly ALGO Cyber audit report as at 30.09.2025 |
30.11.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of half yearly Internal audit report for the period ended 30.09.2025 for Clearing Corporations |
30.11.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of Risk Based Supervision for the period ended 30.09.2025 |
30.11.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Networth Certificate Submission by clearing member to CC for the period ended 30.09.2025 |
30.11.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
No. of STR filed with FIU-IND for the month of October, 2025. (Including NIL STR) (BSE) |
Before 30.11.2025 |
| 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 |
