| All Exchanges |
'Implementation of Circular on ‘Margin obligations to be given by way of Pledge / Re-pledge in the Depository System’ |
1/9/2020 |
| BSE/NSE |
The penal provision for non-collection/short collection of margins by brokers in cash segment |
01/09/2020 |
| BSE |
Uploading of client funding reporting for the month of August, 2020. |
01/09/2020 To 07/09/2020 |
| All Exchanges |
Contingency Drill / Mock Trading Session (Subject to circular to be issued by respective exchanges) |
05/09/2020 |
| PMS |
PMS- Certification for Activity Report- through SEBI portal for the month of August, 2020
|
05/09/2020 |
| Income Tax |
TDS Payment for the Month of August 2020 for Corporate and Individual.
|
7/9/2020 |
| NSE |
Uploading of client funding reporting for the month of August, 2020.
|
7/9/2020 |
| All Exchanges |
Uploading clients’ fund balance and securities balances by the stock brokers on stock exchanges system as per SEBI circular of Enhanced supervision for the month of August, 2020 – Monthly Basis (No Penal provision for late submission til September 30,2020)
|
7/9/2020 |
| Depositary |
Investor Grievances (Report)
NSDL |
10/9/2020 |
| MSE |
Uploading of margin funding file for the month of August 2020.
|
15/09/2020 |
| NSE/ BSE/ MSE |
Uploading of client funding reporting for the month of June |
30/09/2020 |
| BSE / NSE MCX /NCDEX |
Reporting for Artificial Intelligence (AI) and Machine Learning (ML) applications and systems offered and used by market intermediaries for the quarter ended June, 2020
|
30/09/2020 |
| NSDL |
Submission of Net worth Certificate and balance sheet as at 31.03.2020
|
30/09/2020 |
| PMS |
Submission of audit Certificate (Report) by Qualified Chartered Accountant to SEBI for the F.Y. 2019-20.
|
30/09/2020 |
| PMS |
Annual Netwoth Certificate (New requirement)
|
30/09/2020 |
| NSE / BSE / MSE |
Submission of System Audit Report for the period ended 31st March 2020 and for those who have availed ALGO facility for the half year ended 31st March 2020(ALGO and Non ALGO
|
30/09/2020 |
| MCX/ NCDEX |
Submission of half yearly ALGO |
30/09/2020 |
| NSDL / CDSL |
Submission of System Audit(Cyber audit) on Annual Basis.(First time, New Requirement)
|
30/09/2020 |
| NSE / BSE / MCX / NCDEX |
Submission of Cyber Security Audit Report (First time, New Requirement)
|
30/09/2020 |
| NSE /BSE / MSEI |
Submission of half yearly Internal audit report for the period ended 31st March 2020
|
30/09/2020 |
| MCX / NCDEX |
Submission of half yearly Internal audit report for the period ended 31st March 2020
|
30/09/2020 |
| CDSL / NSDL |
Submission of half yearly Internal |
30/09/2020 |
| BSE / NSE / MSE / MCX/ NCDEX |
Submission of Risk Based Supervision for the period ended March, 2020
|
30/09/2020 |
| BSE / NSE/ MSEI / MCX/ NCDEX |
Submission of half yearly Net worth Certificate as at 31.03.2020.
|
30/09/2020 |
| NSE / BSE |
Submission of Margin Trading Compliance Certificate |
30/09/2020 |
| All stock exchanges |
Exemption from maintaining call recordings of orders/instructions received from clients
|
30/09/2020 |
| NSE / BSE / MSE |
Issuance of Global Report to clients for the trade executed during the F.Y. 2019-20
|
30/09/2020 |
| All Exchanges/DP |
KYC application form and supporting documents of the clients to be uploaded on system of KRA (Period of exclusion shall be from March 23, 2020 till September 30, 2020)
|
30/09/2020 |
| BSE |
No. of STR filed with FIU-IND for the month of August, 2020. (Including NIL STR)
|
Before 30/09/2020 |
| NSE / BSE/ MCX / NCDEX |
Reporting of client level Cash and Cash Equivalent Balances and Bank account balances
|
Weekly basis |
| All Equity |
Uploading of Clients’ Funds, collateral and other details lying with the member broker.
|
Weekly basis |
| All Stock Exchanges |
Uploading of day-wise Holding statement in the specified standard format to exchange within 4 trading days of subsequent week
|
Weekly basis |
