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Compliance Calendar

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Compliance Calendar:


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October 2019


Segment Particulars Due Date
All Exchanges/DP/TM/CM Implementation of SEBI circular dated 20 June 2019 for Handling of Client Securities by Trading Members/Clearing Members 01/10/2019
BSE BSE - Uploading of margin funding file for the month of September 2019 01/10/2019 to 08/10/2019
All Exchanges Contingency Drill / Mock Trading Session (Subject to circular to be issued by respective exchanges) 05/10/2019
PMS PMS- Uploading of activity report on SEBI Portal 05/10/2019
Income Tax TDS Payment for the Month of September 2019 for Corporate and Individual 07/10/2019
NSE NSE - Uploading of margin funding file for the month of September 2019 07/10/2019
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 September 2019 07/10/2019
MCX Reporting of cyber security incidents for the quarter ending September 2019 09/10/2019
Stamp Duty Payment of Stamp duty: Security and Commodity Exchanges for the month of September, 2019 10/10/2019
BSE/NSE/MCX/NCDEX/CDSL/NSDL Reporting of Artificial Intelligence (AI) and Machine Learning (ML) applications and systems offered & used by market intermediaries 15/10/2019
MSE Submission of margin funding details for the month of September 2019 15/10/2019
BSE/NSE Submission of Compliance certificate by compliance officer for execution of orders for quarter ended September 2019 15/10/2019
NSE/NSDL/BSE Reporting of cyber security incidents for the quarter ending September 2019 15/10/2019
CDSL/NCDEX Reporting of cyber security incidents for the quarter ending September 2019 (subject to circular) 15/10/2019
PMS Half-yearly reporting by PMS 30/10/2019
BSE/NSE Submission of Networth and Compliance Certificate for half-year ended September 2019 31/10/2019
BSE/NSE/MSE Statement of Accounts for funds & Securities to the clients for the quarter ended September 2019 (non-running accounts) 31/10/2019
MCX Statement of Accounts to the clients for the quarter ended September 2019 31/10/2019
NCDEX Statement of Accounts to the clients for the half-year ended September 2019 31/10/2019
BSE/NSE/MSE/MCX/NCDEX Submission of Annual returns with Networth Certificate as on 31.03.2019 31/10/2019
MSE Submission of Compliance certificate by compliance officer for execution of orders for quarter ended September 2019 31/10/2019
CDSL/NSDL Risk Assessment Template for the period 01.04.2019 to 30.09.2019 (subject to circular issuance) 31/10/2019
BSE No. of STR filed with FIU-IND for the month of September 2019 (Including NIL STR) Before 31/10/2019
All Equity and Commodity Exchanges Uploading of Clients’ Funds, collateral and other details lying with the member broker Weekly Basis
All Stock Exchanges Applicability of uploading of day-wise Holding statement in the specified standard format to exchange within 4 trading days of subsequent week Weekly Basis