| All Exchanges |
Contingency Drill / Mock Trading Session (Subject to circular
to be issued by respective exchanges) |
03.07.2021 |
| PMS |
PMS- Certification for Activity Report- through SEBI portal
for the month of June, 2021 |
Within 7 working days of next month |
| Income Tax |
TDS Payment for the Month of June, 2021 |
07.07.2021 |
| Depositary |
Investor Grievances (Report)
CDSL and NSDL for the month of June, 2021 |
10.07.2021 |
| NSE/BSE/ MCX/NCDEX/ NSDL/CDSL |
Reporting of Cyber Security incidents for the quarter April,
2021 to June, 2021
|
15.07.2021 |
| NSE/BSE/ MSE / MCX/ NCDEX |
Statements of Funds and Securities to clients for the quarter
ended 30.06.2021 (Non running accounts) |
31.07.2021 |
| NSE/BSE/ MSE / MCX/ NCDEX |
Reporting for Artificial Intelligence (AI) and Machine Learning (ML) applications and systems offered and used by market intermediaries for the quarter ended March, 2021 and June 2021 |
31.07.2021 |
| NSE / BSE |
Submission of Margin Trading Compliance Certificate and Networth certificate for the half year ended March 31, 2021
(For those who have availed Margin Trading Facility) |
31.07.2021 |
| BSE / NSE/ MSEI / MCX/ NCDEX |
Submission of half yearly Net worth Certificate as at
31.03.2021 |
31.07.2021 |
| BSE / NSE / MSE / MCX/ NCDEX |
Submission of Risk Based Supervision for the period ended
March, 2021
|
31.07.2021 |
| CDSL / NSDL |
Submission of Risk Assessment Template for the period ended March, 2021
|
31.07.2021 |
| CDSL / NSDL |
Submission of half yearly Internal audit and Consolidated
Concurrent Audit Report for the half year ended |
31.07.2021 |
| NSE /BSE / MSEI |
Submission of half yearly Internal audit report for the half year ended 31.03.2021 |
31.07.2021 |
| MCX / NCDEX |
Submission of half yearly Internal audit report for the half year ended 31.03.2021 |
31.07.2021 |
| NSE /BSE / MSEI |
Submission of System Audit Report for the period ended 31st March 2021 and for those who have availed ALGO
facility for the half year ended 31st March 2021 (ALGO and Non ALGO) |
31.07.2021 |
| MCX / NCDEX |
Submission of half yearly ALGO and Non ALGO system audit
report as at 31/03/2021 |
31.07.2021 |
| NSE / BSE / MCX / NCDEX / CDSL |
Submission of Cyber Security Audit Report for the period ended 31.03.2021 |
31.07.2021 |
| NSDL |
Submission of System Audit (Cyber audit) for the period ended 31.03.2021
|
31.07.2021 |
| NSE /BSE / MSEI / MCX/NCDEX |
Action taken/follow-on audit report for System
Audit /Cyber Audit Report for the F.Y.2019-20
|
31.07.2021 |
| BSE/NSE |
Submission of Insurance payment Receipt for renewal |
31.07.2021 |
| All exchanges |
Maintaining call recordings of orders/instructions received from clients exempted till |
31.07.2021 |
| All exchanges |
Issuance of Global Report to clients for the trade executed during the F.Y. 2020-21(Relaxation is provided only if the client has requested for a physical
statement.)
|
31.07.2021 |
| All exchanges |
To operate the trading terminals from designated alternate locations till |
31.07.2021 |
| BSE / NSE/ MSE |
Uploading of client funding reporting for the month of April, and June, 2021.
May |
31.07.2021 |
| NSE/ BSE/ CDSL / NSDL |
Mandatory updation of certain attribute of KYC of clients. (For existing clients) till |
31.07.2021 |
| BSE |
No. of STR filed with FIU-IND for the month of June 2021.
(Including NIL STR)
|
Before 31.07.2021 |
| 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 |
| NSE |
Submission of Bank statement to exchange on weekly basis
(within next four trading days of subsequent week)
|
Weekly basis |
| NSE / BSE/MCX/ NCDEX |
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 |
| NSE / BSE/ MCX / NCDEX |
Reporting of client level Cash and Cash Equivalent Balances and Bank account balances (within next four trading days of subsequent week) |
Weekly basis |
| All Equity |
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 |
