| 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) |
12.09.2025 - 13.09.2025 |
| STOCK BROKERS (ALL EXCHANGES) - DP - PMS - IA - RA |
Disclosure of complaints received and their redressal status, as on 31.08.2025, in accordance with Investor Charter compliance requirements on the Websites |
07.09.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Upload the details of all complaints received during the month of August, 2025, to Exchange |
07.09.2025 |
| PORTFOLIO MANAGERS |
Uploading of Activity Report- through SEBI portal for the month of August, 2025 |
09.09.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Investor Grievances Report (Record of all the BO grievances received at DP, Main / Branch) to CDSL - NSDL for the month of August 2025 |
10.09.2025 |
| 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 |
10.09.2025 |
| 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 August ,25 |
10.09.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of the report of Modification in URL reported to CDSL within 3 days of such changes |
10.09.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Reporting of STR findings with FIU-India by DP to CDSL for the month of August, 2025 |
10.09.2025 |
| 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 August, 2025 |
10.09.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of report for Non-profit organization transactions report by 15th of next month to FIU-Ind to CDSL |
20.09.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Compliance Report w.r.t Same Mobile Number/Email ID captured for multiple accounts to NSDL |
25.09.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
No. of STR filed with FIU-IND for the month of August, 2025. (Including NIL STR) (BSE) |
Before 30.09.2025 |
| STOCK BROKERS (ALL EXCHANGES) - DP |
Submission of Action Taken Report for System and Cyber audit for the period ended 31st March, 2025 |
30.09.2025 |
| PORTFOLIO MANAGERS |
Annual Audited Netwoth Certificate as at 31.03.2025 |
30.09.2025 |
| PORTFOLIO MANAGERS |
Submission of audit Certificate (Report) by Qualified Chartered Accountant to APMI for the F.Y. 2024-25 |
30.09.2025 |
| INVESTMENT ADVISORS |
Annual Client Level Segregation Certificate-Regulation 22 of amended IA Regulations for the year ended
31.03.2025 |
30.09.2025 |
| INVESTMENT ADVISORS - RESEARCH ANALYSTS |
Extension of timeline to furnish Deposit requirement for Investment Advisers |
30.09.2025 |
| INVESTMENT ADVISORS |
Annual audit for the year ended 31.03.2025 in respect of compliance of SEBI (Investment Advisers) Regulations, 2013 and circulars issued thereunder- Regulation 19 (3) of the amended IA Regulations |
30.09.2025 |
| RESEARCH ANALYSTS |
Extension of timeline to furnish Deposit requirement for Research Analysts |
30.09.2025 |
| RESEARCH ANALYSTS |
Annual Client Level Segregation Certificate of amended RA Regulations for the year ended 31.03.2025 |
30.09.2025 |
| RESEARCH ANALYSTS |
For existing non-fee paying clients/other clients, where RA/research entity does not have any
agreement/subscription arrangement for providing the research services, RA/research entity shall disclose and take consent on terms and conditions of research services. |
30.09.2025 |
| RESEARCH ANALYSTS |
Partnership Firm: in case of non-individual RA being a partnership firm, one of the partners shall be designated as its principal officer |
30.09.2025 |
| RESEARCH ANALYSTS |
Maintenance of records of communication including emails, call recordings etc. with all clients including
prospective clients |
30.09.2025 |
| RESEARCH ANALYSTS |
Annual audit for the year ended 31.03.2025 in respect of compliance of SEBI (Research Analysts) Regulations, and circulars issued there under |
30.09.2025 |
| 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 day-wise Holding Statement in the specified standard format to the exchange (within the next day) |
Daily 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 |
