| All Exchanges |
Contingency Drill / Mock Trading Session (Subject to circular to be issued by respective exchanges) |
04.09.2021 |
| PMS |
PMS- Certification for Activity Report- through SEBI portal for the month of August, 2021 |
Within 7 working days of next month |
| Income Tax |
TDS Payment for the Month of August 2021 for Corporate and Individual.
|
07.09.2021 |
| Depositary |
Investor Grievances (Report)
CDSL and NSDL
|
10.09.2021 |
| All entities |
Validity of NISM certificate - extension
|
30.09.2021 |
| PMS |
Annual Netwoth Certificate
|
30.09.2021 |
| PMS |
Submission of audit Certificate (Report) by Qualified Chartered Accountant to SEBI for the F.Y. 2020-21
|
30.09.2021 |
| NSE / BSE / MSE |
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
|
30.09.2021 |
| MCX/ NCDEX |
Submission of half yearly ALGO and Non ALGO system audit report as at 31/03/2021
|
30.09.2021 |
| NSDL / CDSL |
Submission of System Audit(Cyber audit) on Annual Basis.
|
30.09.2021 |
| NSE / BSE / MCX / NCDEX |
Submission of Cyber Security Audit Report
|
30.09.2021 |
| NSE /BSE / MSEI |
Submission of half yearly Internal audit report for the period ended 31st March 2021
|
30.09.2021 |
| MCX / NCDEX |
Submission of half yearly Internal audit report for the period ended 31st March 2021
|
30.09.2021 |
| BSE / NSE / MSE / MCX/ NCDEX |
Submission of Risk Based Supervision for the period ended March, 2021
|
30.09.2021 |
| All stock exchanges |
"Maintaining call recordings of orders / instructions received
from clients exempted till "
|
30.09.2021 |
| BSE |
No. of STR filed with FIU-IND for the month of August, 2021. (Including NIL STR)
|
Before 30.09.2021 |
| 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 |
| All Exchanges |
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 |
| NSE/ BSE/ MCX |
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 |
