| STOCK BROKERS (ALL EXCHANGES) |
Ease of doing business (EODB) - Implementation of provisions of Policy for joint annual inspection by MIIs – information sharing mechanism– action by Lead MII SEBI circular no: 2025/113 dated: 07-08-2025 |
01.12.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Settlement of Running Accounts (applicable to clients who have opted for monthly settlement, as well as to clients whose accounts have been inactive for over 30 days) |
05.12.2025 - 06.12.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Disclosure of complaints received and their redressal status, as on 30.11.2025, in accordance with Investor Charter compliance requirements on the Websites |
07.12.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Upload the details of all complaints received during the month of November 2025, to Exchange |
07.12.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Implementation of SEBI Circular no.134 dated October8, 2025 regarding review of Block deal frame work |
07.12.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Disclosure of complaints received and their redressal status, as on 30.11.2025, in accordance with Investor Charter compliance requirements on the Websites |
07.12.2025 |
| PORTFOLIO MANAGERS |
Disclosure of complaints received and their redressal status, as on 30.11.2025, in accordance with Investor Charter compliance requirements on the Websites |
07.12.2025 |
| INVESTMENT ADVISORS |
Disclosure of complaints received and their redressal status, as on 30.11.2025, in accordance with Investor Charter compliance requirements on the Websites |
07.12.2025 |
| RESEARCH ANALYSTS |
Disclosure of complaints received and their redressal status, as on 30.11.2025, in accordance with Investor Charter compliance requirements on the Websites |
07.12.2025 |
| PORTFOLIO MANAGERS |
Uploading of Activity Report- through SEBI portal for the month of November 2025 |
09.12.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Investor Grievances Report (Record of all the BO grievances received at DP, Main / Branch) to CDSL and NSDL for the month of November 2025 |
10.12.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Online facility for mandatory submissions to CDSL - Details of 2 days' notice given to BO prior to stopping the process of instructions in case of default in payment |
10.12.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Indictment order disclosures (Information w.r.t. the indictment or any other orders passed against the DP by any competent authority, if any) to CDSL for the month of November ,2025 |
10.12.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of the report of Modification in URL reported to CDSL within 3 days of such changes |
10.12.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Reporting of STR findings with FIU-India by DP to CDSL for the month of November 2025 |
10.12.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Tariff Structure of the DP (Information w.r.t increase in charges/fees providing 30 days’ notice to the BOs, if any) to CDSL for the month of November 2025 |
10.12.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Appointment of IAAP certified accessibility professionals as Auditor w.r.t. SEBI Circular for Compliance to Digital Accessibility Circular ‘Rights of Persons with Disabilities Act, 2016 and rules made thereunder-mandatory compliance by all Regulated Entities’- (Ref. Circular no. SEBI/HO/ITD-1/ITD_VIAP/P/CIR/2025/121Dated 29.08.2025) |
14.12.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Appointment of IAAP certified accessibility professionals as Auditor w.r.t. SEBI Circular for Compliance to Digital Accessibility Circular ‘Rights of Persons with Disabilities Act, 2016 and rules made thereunder-mandatory compliance by all Regulated Entities’- (Ref. Circular no. SEBI/HO/ITD-1/ITD_VIAP/P/CIR/2025/121Dated 29.08.2025) |
14.12.2025 |
| PORTFOLIO MANAGERS |
Appointment of IAAP certified accessibility professionals as Auditor w.r.t. SEBI Circular for Compliance to Digital Accessibility Circular ‘Rights of Persons with Disabilities Act, 2016 and rules made thereunder-mandatory compliance by all Regulated Entities’- (Ref. Circular no. SEBI/HO/ITD-1/ITD_VIAP/P/CIR/2025/121Dated 29.08.2025) |
14.12.2025 |
| INVESTMENT ADVISORS |
Appointment of IAAP certified accessibility professionals as Auditor w.r.t. SEBI Circular for Compliance to Digital Accessibility Circular ‘Rights of Persons with Disabilities Act, 2016 and rules made thereunder-mandatory compliance by all Regulated Entities’- (Ref. Circular no. SEBI/HO/ITD-1/ITD_VIAP/P/CIR/2025/121Dated 29.08.2025) |
14.12.2025 |
| RESEARCH ANALYSTS |
Appointment of IAAP certified accessibility professionals as Auditor w.r.t. SEBI Circular for Compliance to Digital Accessibility Circular ‘Rights of Persons with Disabilities Act, 2016 and rules made thereunder-mandatory compliance by all Regulated Entities’- (Ref. Circular no. SEBI/HO/ITD-1/ITD_VIAP/P/CIR/2025/121Dated 29.08.2025) |
14.12.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of report for Non-profit organization transactions report by 15th of next month to FIU-Ind |
20.12.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Compliance Report w.r.t Same Mobile Number/Email ID captured for multiple accounts to NSDL |
25.12.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Conduct of VAPT through Cert-in Auditor and report shall be submitted to Exchange after approval from respective IT Committee for Half-yearly period-April 2025 – September 2025 (applicable to QSBs and protected REs) |
31.12.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
To discontinue Remisiers as a market intermediary registered on the Exchange Ref. Circular No. 20250912-10 - BSE |
31.12.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Extension towards timeline for submission of the System Audit Report of Trading Members (TYPE - III) |
31.12.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of half yearly ALGO Cyber audit report as at 30.09.2025 |
31.12.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
No. of STR filed with FIU-IND for the month of November, 2025. (Including NIL STR) (BSE) |
Before 31.12.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Requirement of sending a complete ‘Statement of Accounts’ for funds, securities, and commodities in respect of each of its clients (within the next four trading days of the subsequent week) |
Weekly basis |
| STOCK BROKERS (ALL EXCHANGES) |
Uploading of clients mapped with Authorised Persons (AP) before the next 2 trading days of the subsequent week |
Weekly basis |
| STOCK BROKERS (ALL EXCHANGES) |
Uploading of day-wise Holding Statement in the specified standard format to the exchange (within the next day) |
Daily basis |
