| STOCK BROKERS (ALL EXCHANGES) |
Applicability of provisions for Safer participation of retail investors in Algorithmic trading Ref Circular
No:- SEBI/HO/MIRSD/MIRSD-PoD/P/CIR/2025/0000013 dated: February 4, 2025 |
01.10.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
SEBI Circular Ref. no. SEBI/HO/MRD/MRD-PoD-2/P/CIR/2024/118 on Margin Trading Facility (MTF) Amendments |
01.10.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Settlement of running account (For quarterly settlement) |
03.10.2025 - 04.10.2025 |
| 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) |
03.10.2025 - 04.10.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Disclosure of complaints received and their redressal status, as on 30.09.2025, in accordance with Investor Charter compliance requirements on the Websites |
07.10.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Upload the details of all complaints received during the month of September, 2025, to Exchange |
07.10.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Disclosure of complaints received and their redressal status, as on 30.09.2025, in accordance with Investor Charter compliance requirements on the Websites |
07.10.2025 |
| PORTFOLIO MANAGERS |
Disclosure of complaints received and their redressal status, as on 30.09.2025, in accordance with Investor Charter compliance requirements on the Websites |
07.10.2025 |
| INVESTMENT ADVISORS |
Disclosure of complaints received and
their redressal status, as on 30.09.2025,
in accordance with Investor Charter
compliance requirements on the
Websites |
07.10.2025 |
| RESEARCH ANALYSTS |
Disclosure of complaints received and
their redressal status, as on 30.09.2025,
in accordance with Investor Charter
compliance requirements on the
Websites |
07.10.2025 |
| PORTFOLIO MANAGERS |
Uploading of Activity Report- through SEBI portal for the month of September, 2025 |
09.10.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Extension of timeline for implementation of SEBI Circular ‘Margin obligations to be given by way of pledge/Re- 10.10.2025
pledge in the Depository System’ dated June 03, 2025 |
10.10.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Investor Grievances Report (Record of all the BO grievances received at DP, Main / Branch) to CDSL |
10.10.2025 |
| 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 |
10.10.2025 |
| 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 September ,2025 |
10.10.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of the report of Modification in URL reported to CDSL within 3 days of such changes |
10.10.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Reporting of STR findings with FIU-India by DP to CDSL for the month of September, 2025 |
10.10.2025 |
| 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 September, 2025 |
10.10.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Extension of timeline for implementation of SEBI Circular ‘Margin obligations to be given by way of pledge/Repledge in the Depository System’ dated June 03, 2025 |
10.10.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of Surveillance Obligations report for the quarter ended 30.09.2025 |
15.10.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Reporting for Artificial Intelligence (AI) and Machine Learning (ML) applications and systems offered and used by market intermediaries for the half year ended September, 2025 having ALGO facilities. |
15.10.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Reporting of Cyber Security Incidents for the quarter ended 30.09.2025 |
15.10.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of Surveillance Obligations report for the quarter ended 30.09.2025 |
15.10.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Reporting of Cyber Security Incidents for the quarter ended 30.09.2025 |
15.10.2025 |
| PORTFOLIO MANAGERS |
Submission of Offsite Inspection data reporting to SEBI as per the specified formats for all PMS clients on quarterly basis within 15 days from end of the quarter. (Master circular for Portfolio Manager -Ref Circular
no. SEBI/HO/IMD/IMD-POD-1/P/CIR/2023/38 dt 20.3.2023) |
15.10.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of UCC wise quarterly settlement details to exchanges (T 10 trading days from the date of settlement) |
17.10.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of report for Non-profit organization transactions report by 15th of next month to FIU-Ind |
20.10.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Compliance Report w.r.t Same Mobile Number/Email ID captured for multiple accounts to NSDL |
25.10.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
No. of STR filed with FIU-IND for the month of September, 2025. (Including NIL STR) (BSE) |
Before 31.10.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of Details of AP Inspections undertaken during the quarter ended 30.09.2025 (Even if NIL AP inspected, submission is mandatory) |
31.10.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of Annual Returns for the period ended 31st March, 2025 |
31.10.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of Audited Networth certificate for the period ended 31st March, 2025 |
31.10.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of Networth Certificate - Audited Financial Statements as at 31.03.2025 |
31.10.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of Asset Inventory details and certification to NSE for the period ended 31.03.2025 (Subject to 31.10.2025 circular to be issued by NSE) |
31.10.2025 |
| STOCK BROKERS (ALL EXCHANGES) |
Revision in contract note format - Extension of timeline for MCX - NCDE |
31.10.2025 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of Risk Assessment Template for the period ended 30.09.2025 - (Subject to circular to be issued by respective DPs) |
31.10.2025 |
| INVESTMENT ADVISORS |
Submission of the periodic report for half year ended 30.09.2025 (Subject to email to be received from BSE) |
31.10.2025 |
| RESEARCH ANALYSTS |
Half yearly periodic reporting by
Research Analysts - Compliance
(Subject to email to be received from
BSE) |
31.10.2025 |
| 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) |
Uploading of day-wise Holding Statement in the specified standard format to the exchange (within the next day) |
Daily basis |
