| BSE |
Uploading of client funding reporting for the month of December, 2020. |
01-01-2021 To 07-01-2021 |
| All Exchanges |
Contingency Drill / Mock Trading Session (Subject to circular to be issued by respective exchanges) |
09-01-2021 |
| PMS |
PMS- Certification for Activity Report- through SEBI portal for the month of December, 2020 |
Within 7 working days |
| Income Tax |
TDS Payment for the Month of December 2020 for Corporate and Individual. |
07-01-2021 |
| NSE |
Uploading of client funding reporting for the month of December, 2020.
|
07-01-2021 |
| 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 December, 2020 |
07-01-2021 |
| Depositary |
Investor Grievances (Report)
CDSL/NSDL |
10-01-2021 |
| MSE |
Uploading of margin funding file for the month of December, 2021. |
15-01-2021 |
| NSE / MCX / BSE / NCDEX / NSDL / CDSL |
Reporting of Cyber Security Incidents for the quarter October, 2020 to December, 2020
|
15-01-2021 To 15-01-2021 |
| NSE/ BSE MSE /MCX /NCDEX/CDSL / NSDL |
Reporting for Artificial Intelligence (AI) and Machine Learning (ML) applications and systems offered and used by market intermediaries for the quarter ended December, 2020. ( Ref. SEBI circular no. SEBI/HO/MIRSD/DOS2/CIR/P/2019/10 dated January 4, 2019) |
15-01-2021 |
| BSE / NSE / MSE / MCX / NCDEX |
Statements of Accounts for funds |
31-01-2021 |
| All Exchanges and DP |
Submission of Audited Networth Certificate, Auditor’s Report |
31-01-2021 |
| All Exchanges and DP |
KYC application form and supporting documents of he clients to be uploaded on system of KRA within 10 working days (Period of exclusion shall be from March 23, 2020 till December 31,2020 |
15-01-2021 |
| All Exchanges |
Submission of Cyber Security Audit Report for the period ended 30-09-2020 |
31-01-2021 |
| BSE |
No. of STR filed with FIU-IND for the month of December 2020. (Including NIL STR) |
Before 31-01-2021 |
| NSE / BSE/ MCX / NCDEX |
Reporting of client level Cash and Cash Equivalent Balances and Bank account balances |
Weekly basis |
| All Equity |
Uploading of Clients’ Funds, collateral and other details lying with the member broker. (Enhanced Supervision) |
Weekly basis |
| All Stock Exchanges |
Uploading of day-wise Holding statement in the specified standard format to exchange within 4 trading days of subsequent week |
Weekly basis |
