| NSE/ BSE |
Mandatory field in unique client code (UCC) information provided
to exchange ( For New clients registered |
01/06/2021 |
| CDSL/ NSDL |
Mandatory updation of certain attribute of KYC of clients. |
01/06/2021 |
| BSE/ NSE/ MCX/ NCDEX |
% of Peak margin obligation to be compared with respective peak margin available
for computation of shortfall in peak margin: 75% from |
01/06/2021 |
| All Exchanges |
Contingency Drill / Mock Trading Session (Subject to circular to be issued by
respective exchanges) |
05/06/2021 |
| PMS |
PMS- Certification for Activity Report- through SEBI portal for the
month of May, 2021 |
Within 7 working days of next month |
| Income Tax |
TDS Payment for the Month of May 2021 |
07/06/2021 |
| Income Tax |
Advance payment of Income tax for Corporate |
15/06/2021 |
| NSE/ BSE |
Reporting of client level cash and Cash Equivalent Balancesby trading members to
the clearing members (New Compliance requirements) (First submission for the
week ending on June, 19, 2021 |
24/06/2021 |
| Depositary |
Investor Grievances CDSL and NSDL |
30/06/2021 |
| BSE/ NSE/ MSE |
Uploading of client funding reporting for the month of April |
30/06/2021 |
| NSE/ BSE/ MSE |
Issuance of Global Report to clients for the trade executed during the
F.Y. 2020-21(Through physical mode) |
30/06/2021 |
| All stock exchanges |
To operate the trading terminals from designated alternate locations |
30/06/2021 |
| All stock exchanges |
Maintaining call recordings of orders/ instructions received from clients |
30/06/2021 |
| BSE |
No. of STR filed with FIU-IND for the month of May 2021. (Including NIL STR) |
Before 30/06/2021 |
| NSE/ BSE/ MCX/ NCDEX |
Requirement of sending a complete ‘Statement of Accounts’ for funds, securities
and commodities in respect of each of its clients on weekly basis. |
Weekly basis |
| 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. (Enhanced Supervision) |
Weekly basis |
| All Exchanges |
Uploading of day-wise Holding statement in the specified standard format to exchange within 4 trading days of subsequent week |
Weekly basis |
