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What?When?Contact?Reference?Dated?ANNUAL COMPLIANCESSubmission of SSL certificate

for IBT Services By 30 April yearlyMember Service DepartmentNSE/CMTR/2312541367System Audit Report By 30 June yearlyMember Service DepartmentNSE/MSD/37358 43187Proof of Insurance coverBy July 31 yearlyMembership ComplianceNSE/COMP/4113843614NSE/COMP/3331942643NSE/COMP/4156243656Annual ReturnsBy October 31 yearlyMembership ComplianceNSE/COMP/4219843728NSE/COMP/3578342990NSE/COMP/3621343040HALF YEARLY COMPLIANCESNSE/INSP/3753743206Internal Audit ReportHalf yearly basis -Within 2 months from half year ended March and September i.e, 30th November every year and 31st May every yearInspectionNSE/INSP/3777743237NSE/INSP/3735943187Risk Based SupervisionHalf yearly basisInspectionNSE/INSP/3453442825NSE/INSP/3486842870NSE/INSP/3596243007NSE/INSP/3628543052NSE/INSP/308865th October 2015NSE/INSP/309107th October 2015NSE/INSP/3095442292NSE/INSP/3103442307NSE/INSP/3199642446NSE/INSP/3212442460NSE/INSP/3229842492NSE/INSP/3238142503NSE/INSP/3245742517NSE/INSP/3333242646NSE/INSP/3362742689NSE/INSP/37580April 20,2018Enhanced SupervisionOn or before the next three

trading days till March 31, 2018 and on last trading day of every week on or before the next

three trading days from April OnwardsInspectionNSE/INSP/37395April 02,2018NSE/INSP/3640543068NSE/INSP/3597643007NSE/INSP/3591143003NSE/INSP/3541242936NSE/INSP/3518442909NSE/INSP/3386142725NSE/INSP/3327642640NSE/ISC/3681743124Enhanced SupervisionWithin 7 calender days from end of last trading day of the month.ISC and ArbitrationNSE/ISC/3656743091NSE/ISC/3641843069NSE/ISC/3548442944NSE/ISC/3526842919NSE/COMP/4156243656Net worth certificateHalf yearly basis -Within 2 months from half year ended March and SeptemberMembership ComplianceNSE/COMP/3890443361NSE/COMP/4068143564NSE/COMP/2960430th April 2015NSE/MSD/35999

43012 System Audit of Stock Brokers / Trading Members (Type – III)Within two months from the end of half yearMember Service DepartmentNSE/MSD/37358 43187System Audit Report Preliminary Audit Report- 30th June 2018, Action taken Report - September 30, 2018,Follow-on Audit Report- December 31, 2018Member Service DepartmentNSE/COMP/4068143564Networth certificate in Margin Trading for CM SegmentWithin one month from the end of half yearMembership ComplianceNSE/COMP/3512542901QUARTERLY COMPLIANCESNSE/INVG/2588541684Disclosures by trading members (Capital market segment) regarding their holdings in listed companies.Quarterly basis - Within 45 days from the end of quarter InvestigationNSE/INVG/2605641703NSE/COMP/3820043280Quarterly Compliance CertificateQuarterly basis - by 15th of January, April, July and October Membership ComplianceNSE/COMP/3331942643NSE/COMP/3012530th June2015NSE/COMP/2392741473NSE/COMP/2199041205NSE/COMP/2199141205NSE/COMP/2199241205MONTHLY COMPLIANCESNSE/COMP/3331942643Client wise Funding Report Within seven days form the end of the monthMembership ComplianceNSE/COMP/2056041016NSE/CMTR/845439113NSE/CMTR/696338705NSE/CMTR/696238705NSE/CMTR/637338546DAILY COMPLIANCESNSE/CMTR/37688

May 04, 2018Bulk and Block Deal Execution & Reporting Disclosures to the Exchange with respect to the information pertaining to bulk trades and /or trades done under the block deals session/ market on the same day of trade.

The member has to submit the request through ENIT for changes (if any) within 45 minutes from the time the record is made available Member Service DepartmentNSE/INSP/3973243455Daily MTR fileBefore 12 p.m. on the following trading dayMembership Compliance and InspectionNSE/COMP/3635043061NSE/COMP/3552142950NSE/COMP/3550942948NSE/COMP/3526042916NSE/COMP/3512542901NSCCL/CMPT/3465942842Pay in of Funds (CM)On T+2 day by stipulated pay-in timeNSCCL – FundsNSCCL/CMPT/3465742842Pay in of Funds (F&O)On a T+1 day basis by stipulated pay-in timeNSCCL – FundsNSCCL/CD/3465442842Pay in of Funds (CDS)Daily mark to market settlement by 8:30 am on T+1 day

Final settlement by 8:30 am on T+2 dayNSCCL – FundsNSCCL/CMPT/3465542842Pay in of Funds (SLB)On T+1 day by 9:30 amNSCCL – FundsNSE/CMPT/1650640535Pay in of Funds (MFSS)On the T+1 day by 8:30 a.m.NSCCL – FundsNSCCL/DS/3466242842Pay in of Funds (DEBT)On T+2 day by stipulated pay-in timeNSCCL – FundsNSCCL/CMPT/3465742842Client Margin Reporting-F&O SegmentWithin five days from trade dateNSCCL - RiskNSE/CMPT/28799 42040NSCCL/CD/3465442842Client Margin Reporting-Currency Derivative SegmentWithin five days from trade dateNSCCL - RiskNSE/CD/287885th February 2015NSCCL/CMPT/3465942842Client Code Modification File (CLD)On T day upto 4:15 PMNSCCL - SecuritiesNSE/CMPT/3221842475NSCCL/CMPT/3465942842Client Direct Payout File (CPD)On T+2 day by 9.30 AMNSCCL - Securities ................
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