| All Exchanges |
Settlement of running account (For those who has opted for monthly settlement) |
03.02.2023 |
| All Exchanges |
Contingency Drill / Mock Trading Session (Subject to circular to be issued by respective exchanges) |
04.02.2023 |
| PMS |
PMS- Uploading of Activity Report- through SEBI portal for the month of January, 2023 |
07.02.2023 |
| Income Tax |
TDS Payment for the Month of January 2023 for Corporate and Individual |
07.02.2023 |
| All Members of exchnages/ PMS/ RA/ IA/ DP |
Publishing the data on complaints received against intermediary or against issues dealt by intermediary and redressal there of on website as on 31.01.2023 (Investor Charter compliance) |
07.02.2023 |
| Depositary |
Investor Grievances (Report)
CDSL and NSDL |
10.02.2023 |
| All stock exchanges |
Applicability of new norms of networth |
23.02.2023 |
| CDSL/ NSDL |
Applicability of new norms of networth |
23.02.2023 |
| BSE/ NSE |
Corrective action taken report for the Cyber audit report submitted for the period ended 30-09-2022 |
28.02.2023 |
| BSE/ NSE |
Corrective action taken report for the system audit report submitted for the period ended 30-09-2022 |
28.02.2023 |
| PMS |
Implementation of Automated Systems with minimal intervertion Para 4.2 (of SEBi circular no.SEBI/HO/IMD/IMD-I DOF1/P/CIR/2022/133 dated 30.09.2022 |
28.02.2023 |
| BSE |
No. of STR filed with FIU-IND for the month of January, 2023. (Including NIL STR) |
Before 28.02.2023 |
| NSE/ BSE |
Uploading of day-wise Holding statement in the specified standard format and bank account balances through an API to exchange (within next day) |
Daily basis |
| 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 |
| NSE |
Submission of Bank statement to exchange for all bank accounts maintained with Banks other
than listed out in Annexure A of exchange circular 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 to excahnges (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 |
| MCX/ NCDEX |
Uploading of day-wise Holding statement in the specified standard format and Bank account
balances to exchange (within four trading days of subsequent week) |
Weekly basis |
