| 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 Client-wise Collateral Segregation details to Clearing Corporation/Clearing member in the
prescribed format on T 1 basis |
Daily basis |
| 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) |
Implementation of SEBI Circular - HO/38/24/(15)2026-MIRSD-PODMMC/I/22872/2026 Display of “investor
awareness message(s)” by stock brokers on their trading apps and websites, under Project Jagrook |
01.11.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of UCC wise quarterly settlement (Quarter ended September,2026) details to exchanges (T 10 trading days from the date of settlement) |
03.11.2026 |
| 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) |
06.11.2026 - 07.11.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Disclosure of complaints received and their redressal status, as on 31.10.2026, in accordance with Investor Charter compliance requirements on the Websites |
07.11.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Upload the details of all complaints received during the month of October, 2026, to Exchange |
07.11.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of audit plan for system audit to exchanges-(subject to circular to be issued by exchanges) |
07.11.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Disclosure of complaints received and their redressal status, as on 31.10.2026, in accordance with Investor Charter compliance requirements on the Websites |
07.11.2026 |
| PORTFOLIO MANAGERS |
Disclosure of complaints received and their redressal status, as on 31.10.2026, in accordance with Investor Charter compliance requirements on the Websites |
07.11.2026 |
| INVESTMENT ADVISORS |
Disclosure of complaints received and their redressal status, as on 31.10.2026, in accordance with Investor
Charter compliance requirements on the Websites and Mobile Applications (if any) |
07.11.2026 |
| RESEARCH ANALYSTS |
Disclosure of complaints received and their redressal status, as on 31.10.2026, in accordance with Investor
Charter compliance requirements on the Websites and Mobile Applications (if any) |
07.11.2026 |
| 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 October 2026 |
10.11.2026 |
| 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 |
10.11.2026 |
| 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 October ,2026 |
10.11.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of the report of Modification in URL reported to CDSL within 3 days of such changes |
10.11.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Reporting of STR findings with FIU-India by DP to CDSL for the month of October, 2026 |
10.11.2026 |
| 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 October, 2026 |
10.11.2026 |
| PORTFOLIO MANAGERS |
Uploading of Activity Report- through SEBI portal for the month of October, 2026 |
11.11.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Margin Trading Facility- Submission of Networth certificate for the half year ended 30.09.2026 |
15.11.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of CDSL consolidated concurrent and Internal Audit Report for the half Year Ended 30.09.2026 |
15.11.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of NSDL Internal Audit Report for the half Year Ended 30.09.2026 |
15.11.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of report for Non-profit organization transactions report by 15th of next month to FIU-Ind |
20.11.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Compliance Report w.r.t Same Mobile Number/Email ID captured for multiple accounts to NSDL |
25.11.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
OTP-Based authentication for physical BO modification requests |
27.11.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of quaterly networth certificate for the period ended 30.09.2026 for QSB brokers (Common
reporting to NSE only if having multiple membership) |
29.11.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
No. of STR filed with FIU-IND for the month of October, 2026. (Including NIL STR) (BSE) |
Before 30.11.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of half yearly networth certificate as at 30.09.2026 (Non-MTF) |
30.11.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of half yearly Internal audit report for the period ended 30.09.2026 |
30.11.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of half yearly ALGO system audit report as at 30.09.2026 |
30.11.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of half yearly Internal audit report for the period ended 30.09.2026 for Clearing Corporations |
30.11.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of Risk Based Supervision for the period ended 30.09.2026 |
30.11.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Networth Certificate Submission by clearing member to CC for the period ended 30.09.2026 |
30.11.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission to ATR / Re-validation report through same CERT-IN auditor providing closure status after
approval from respective IT committee (If applicable)- VAPT ATR |
30.11.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission to ATR / Re-validation report through same CERT-IN auditor providing closure status after approval
from respective IT committee (If applicable)- VAPT ATR |
30.11.2026 |
