| BSE |
Uploading of client funding reporting for the month of April 2021
|
01-05-2021 To 07-05-2021 |
| All Exchanges |
Contingency Drill / Mock Trading Session (Subject to circular to be issued by respective exchanges)
|
08-05-2021 |
| PMS |
PMS- Certification for Activity Report- through SEBI portal for the month of April, 2021
|
Within 7 working days of next month |
| NSE |
Uploading of client funding reporting for the month of April, 2021
|
07-05-2021 |
| Income Tax |
TDS Payment for the Month of April 2021
|
07-05-2021 |
| Depositary |
Investor Grievances (Report) CDSL and NSDL |
10-05-2021 |
| MSE |
Uploading of margin funding file for the month of April, 2021
|
15-05-2021 |
| CDSL / NSDL |
Submission of half yearly Internal audit report
|
15-05-2021 |
| NSE /BSE / MSEI |
Submission of half yearly Internal audit report
|
31-05-2021 |
| MCX / NCDEX |
Submission of half yearly Internal audit report |
31-05-2021 |
| BSE / NSE / MSE |
Submission of Risk Based Supervision for the period ended March, 2021
|
31-05-2021 |
| MCX / NCDEX |
Submission of Risk Based Supervision for the period 31st March, 2021
|
31-05-2021 |
| BSE / NSE/ MSEI |
Submission of half yearly Net worth Certificate as at 31-03-2021
|
31-05-2021 |
| MCX / NCDEX |
Submission of half yearly Net worth Certificate as at 31-03-2021
|
31-05-2021 |
| MCX / NCDEX |
Submission of System Audit Report for the period ended 31st March 2021 for those who have availed ALGO facility
|
31-05-2021 |
| MCX / NCDEX |
Submission of Cyber Security and Cyber Resilience Audit for the half year ended 31st March 2021 for those who have availed ALGO facility |
31-05-2021 |
| NSE/BSE |
Mandatory field in unique client code (UCC) information provided to exchange
|
31-05-2021 |
| CDSL / NSDL |
Mandatory updation of certain attribute of KYC of clients.
|
31-05-2021 |
| BSE |
No. of STR filed with FIU-IND for the month of March 2021. (Including NIL STR) |
Before 31-05-2021 |
| NSE / BSE/MCX/ NCDEX |
Requirement of sending a complete ‘Statement of Accounts’ for funds, securities and commodities in respect of each of its clients on weekly basis.
|
Weekly basis |
| NSE / BSE/ MCX / NCDEX |
Reporting of client level Cash and Cash Equivalent Balances and Bank account balances
|
Weekly basis |
| All Equity and Commodity Exchanges |
Uploading of Clients’ Funds, collateral and other details lying with the member broker. (Enhanced Supervision)
|
Weekly basis |
| All Exchanges |
Uploading of day-wise Holding statement in the specified standard format to exchange within 4 trading days of subsequent week
|
Weekly basis |
