I Love Stock Market - BBF

Calendar

September 2020

Segment Particulars Due Date
All Exchanges 'Implementation of Circular on ‘Margin obligations to be given by way of Pledge / Re-pledge in the Depository System’ 1/9/2020
BSE/NSE The penal provision for non-collection/short collection of margins by brokers in cash segment 01/09/2020
BSE Uploading of client funding reporting for the month of August, 2020. 01/09/2020 To 07/09/2020
All Exchanges Contingency Drill / Mock Trading Session (Subject to circular to be issued by respective exchanges) 05/09/2020
PMS PMS- Certification for Activity Report- through SEBI portal for the month of August, 2020 05/09/2020
Income Tax TDS Payment for the Month of August 2020 for Corporate and Individual. 7/9/2020
NSE Uploading of client funding reporting for the month of August, 2020. 7/9/2020
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 August, 2020 – Monthly Basis (No Penal provision for late submission til September 30,2020) 7/9/2020
Depositary Investor Grievances (Report) NSDL 10/9/2020
MSE Uploading of margin funding file for the month of August 2020. 15/09/2020
NSE/ BSE/ MSE Uploading of client funding reporting for the month of June 30/09/2020
BSE / NSE MCX /NCDEX Reporting for Artificial Intelligence (AI) and Machine Learning (ML) applications and systems offered and used by market intermediaries for the quarter ended June, 2020 30/09/2020
NSDL Submission of Net worth Certificate and balance sheet as at 31.03.2020 30/09/2020
PMS Submission of audit Certificate (Report) by Qualified Chartered Accountant to SEBI for the F.Y. 2019-20. 30/09/2020
PMS Annual Netwoth Certificate (New requirement) 30/09/2020
NSE / BSE / MSE Submission of System Audit Report for the period ended 31st March 2020 and for those who have availed ALGO facility for the half year ended 31st March 2020(ALGO and Non ALGO 30/09/2020
MCX/ NCDEX Submission of half yearly ALGO 30/09/2020
NSDL / CDSL Submission of System Audit(Cyber audit) on Annual Basis.(First time, New Requirement) 30/09/2020
NSE / BSE / MCX / NCDEX Submission of Cyber Security Audit Report (First time, New Requirement) 30/09/2020
NSE /BSE / MSEI Submission of half yearly Internal audit report for the period ended 31st March 2020 30/09/2020
MCX / NCDEX Submission of half yearly Internal audit report for the period ended 31st March 2020 30/09/2020
CDSL / NSDL Submission of half yearly Internal 30/09/2020
BSE / NSE / MSE / MCX/ NCDEX Submission of Risk Based Supervision for the period ended March, 2020 30/09/2020
BSE / NSE/ MSEI / MCX/ NCDEX Submission of half yearly Net worth Certificate as at 31.03.2020. 30/09/2020
NSE / BSE Submission of Margin Trading Compliance Certificate 30/09/2020
All stock exchanges Exemption from maintaining call recordings of orders/instructions received from clients 30/09/2020
NSE / BSE / MSE Issuance of Global Report to clients for the trade executed during the F.Y. 2019-20 30/09/2020
All Exchanges/DP KYC application form and supporting documents of the clients to be uploaded on system of KRA (Period of exclusion shall be from March 23, 2020 till September 30, 2020) 30/09/2020
BSE No. of STR filed with FIU-IND for the month of August, 2020. (Including NIL STR) Before 30/09/2020
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. 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