| All stock exchanges |
Segregation and Monitoring of Collateral at Client Level - Allocation |
02.05.2022 |
| All Exchanges |
Contingency Drill / Mock Trading Session (Subject to circular to be issued by respective exchanges) |
07.05.2022 |
| PMS |
PMS- Uploading of Activity Report- through SEBI portal for the month of April, 2022 |
07.05.2022 |
| All Members of exchnages/PMS/RA/IA/DP |
Publishing the data on complaints received against them or against issues dealt by them and redressal thereof on website (Investor Charter compliance) |
07.05.2022 |
| Income Tax |
TDS Payment for the Month of April 2022 |
07.05.2022 |
| Depositary |
Investor Grievances (Report)
CDSL and NSDL |
10.05.2022 |
| CDSL/ NSDL |
Submission of half yearly Internal audit and Consolidated Concurrent Audit Report for the half year ended 31.03.2022 |
15.05.2022 |
| PMS |
Compliance certificate by principal officer |
30.05.2022 |
| PMS |
Repoting of perfomance by portfolio manager (Point no. e-13 of the circular -guidelines of Portfolio manager dated 13.02.2020 |
30.05.2022 |
| BSE/ NSE/ MSE/ MCX/ NCDEX |
Submission of Risk Based Supervision for the period ended March, 2022 |
31.05.2022 |
| BSE/ NSE/ MSEI/ MCX/ NCDEX |
Submission of half yearly Net worth Certificate as at 31.03.2022 |
31.05.2022 |
| NSE/ BSE/ MSEI |
Submission of half yearly Internal audit report for the half year ended 31.03.2022 |
31.05.2022 |
| MCX/NCDEX |
Submission of half yearly Internal audit report for the half year ended 31.03.2022 |
31.05.2022 |
| NCDEX |
Submission of System Audit (ALGO Facilicty) for the period ended 31.03.2022 |
31.05.2022 |
| NSE/ BSE |
Submission of System Audit (ALGO Facilicty) for the period ended 31.03.2022 (Subject to circular to be issued by respective exchanges) |
31.05.2022 |
| All exchanges |
Members to close client bank accounts and/or own bank account with other than clearing banks or scheduled banks |
31.05.2022 |
| MCX |
Submission of Details of AP Inspections undertaklen during the F.Y. 2021-22 |
31.05.2022 |
| BSE |
No. of STR filed with FIU-IND for the month of April 2022. (Including NIL STR) |
Before 31.05.2022 |
| NSE/ BSE |
Uploading of clients mapped with Authorised Persons (AP) before the next 2 trading days of subsequent week. |
Weekly basis |
| NSE/ BSE |
Reporting of client level cash and Cash Equivalent Balances by trading members to the clearing members on weekly basis (within next four trading days of subsequent week) |
Weekly basis |
| All Exchanges |
Submission of Bank statement to exchange on weekly basis (within next four trading days of subsequent week) |
Weekly basis |
| All Exchanges |
Requirement of sending a complete ‘Statement of Accounts’ for funds, securities and commodities in respect of each of its clients (within next four trading days of subsequent week) |
Weekly basis |
| All Exchanges |
Reporting of client level Cash and Cash Equivalent Balances and Bank account balances (within next four trading days of subsequent week) |
Weekly basis |
| All Exchanges |
Uploading of Clients’ Funds, collateral and other details lying with the member broker. (Enhanced Supervision within three trading days of subsequent week) |
Weekly basis |
| All Exchanges |
Uploading of day-wise Holding statement in the specified standard format to exchange (within four trading days of subsequent week) |
Weekly basis |
