| 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) |
02.01.2026 - 03.01.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Settlement of running account (For quarterly settlement) |
02.01.2026 - 03.01.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Disclosure of complaints received and their redressal status, as on 31.12.2025, in accordance with
Investor Charter compliance requirements on the Websites |
07.01.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Disclosure of complaints received and their redressal status, as on 31.12.2025, in accordance with
Investor Charter compliance requirements on the Websites |
07.01.2026 |
| PORTFOLIO MANAGERS |
Disclosure of complaints received and their redressal status, as on 31.12.2025, in accordance with
Investor Charter compliance requirements on the Websites |
07.01.2026 |
| INVESTMENT ADVISORS |
Disclosure of complaints received and their redressal status, as on 31.12.2025, in accordance with
Investor Charter compliance requirements on the Websites |
07.01.2026 |
| RESEARCH ANALYSTS |
Disclosure of complaints received and their redressal status, as on 31.12.2025, in accordance with
Investor Charter compliance requirements on the Websites |
07.01.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Upload the details of all complaints received during the month of December, 2025 to Exchange |
07.01.2026 |
| PORTFOLIO MANAGERS |
Uploading of Activity Report- through SEBI portal for the month of December, 2025 |
09.01.2026 |
| 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 December 2025 |
10.01.2026 |
| 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 |
10.01.2026 |
| 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 December, 2025 |
10.01.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of the report of Modification in URL reported to CDSL within 3 days of such changes |
10.01.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Reporting of STR findings with FIU-India by DP to CDSL for the month of December, 2025 |
10.01.2026 |
| 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 December, 2025 |
10.01.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of Surveillance Obligations report for the quarter ended 31.12.2025 |
10.01.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of Surveillance Obligations report for the quarter ended 31.12.2025 |
15.01.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Reporting of Cyber Security Incidents for the quarter ended 31.12.2025 |
15.01.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of UCC wise quarterly settlement details to exchanges (T 10 trading days from the date
of settlement) |
16.01.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of report for Non-profit organization transactions report by 15th of next month to FIU-Ind |
20.01.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Compliance Report w.r.t Same Mobile Number/Email ID captured for multiple accounts to NSDL |
25.01.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of reporting of Saas software |
30.01.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of reporting of Saas software |
30.01.2026 |
| PORTFOLIO MANAGERS |
Submission of reporting of Saas software |
30.01.2026 |
| INVESTMENT ADVISORS |
Submission of reporting of Saas software |
30.01.2026 |
| RESEARCH ANALYSTS |
Submission of reporting of Saas software |
30.01.2026 |
| STOCK BROKERS (ALL EXCHANGES) Sr. |
No. of STR filed with FIU-IND for the month of December, 2025. (Including NIL STR) (BSE) |
Before 31.01.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of compliance certificate for the half year ended 31.12.2025 for NSDL and CDSL |
31.01.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Online submission of details of all the associated persons other than those engaged in basic
elementary/clerical activities are NISM Series VI - DOCE certified for the period ending December 2025
(Half Yearly Requirement) |
31.01.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Online submission of details of NISM-Series-III A: Securities Intermediaries Compliance (Non-Fund)
Certification Examination (“SICCE”) obtained by Compliance Officer of the DP as per SEBI notification
dated 11th March 2013 for the period ending December, 2025 (Half Yearly Requirement) |
31.01.2026 |
| STOCK BROKERS (ALL EXCHANGES) Sr. |
Submission of Details of AP Inspections undertaken during the quarter ended 31.12.2025 (Even if NIL AP inspected, submission is mandatory) |
31.01.2026 |
| STOCK BROKERS (ALL EXCHANGES) Sr. |
Submission of Action Taken Report for non-compliance(s) reported in the Internal Audit Report for half
year ended 30-09-2025 |
31.01.2026 |
| STOCK BROKERS (ALL EXCHANGES) Sr. |
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) Sr. |
Uploading of clients mapped with Authorised Persons (AP) before the next 2 trading days of the
subsequent week. |
Weekly basis |
| STOCK BROKERS (ALL EXCHANGES) Sr. |
Uploading of day-wise Holding Statement in the specified standard format to the exchange (within the
next day) |
Daily basis |
