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Compliance Calendar

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Compliance Calendar:


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June 2019


Segment Particulars Due Date
PMS PMS- Uploading of activity report on SEBI Portal 05/07/2019
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 June, 2019 05/07/2019
All Exchanges Contingency Drill / Mock Trading Session (Subject to circular to be issued by respective exchanges) 06/07/2019
Income Tax TDS Payment for the Month of June 2019 for Corporate and Individual 07/07/2019
NSE NSE - Uploading of margin funding file for the month of June,2019 through ENIT 07/07/2019
BSE BSE - Uploading of margin funding file for the month of June 2019 08/07/2019
Stamp Duty Payment of Stamp duty: Security and Commodity Exchanges for the month of June, 2019 10/07/2019
Depository Investor Grievances (Report) CDSL & NSDL 10/07/2019
BSE/NSE Submission of compliance certificate by compliance officer for execution of orders for the quarter ended 30th June 2019 15/07/2019
MSE Submission of client funding details for the month of June 2019 15/07/2019
BSE/NSE/MCX Statements of Statement of Accounts for Funds and Securities to clients for quarter ended 30th June 2019 (Non-runnning accounts) 31/07/2019
MCX/NCDEX Statements of Funds and Securities to clients for quarter ended 30th June 2019 (Non-runnning accounts) 31/07/2019
CDSL/NSDL Submission of compliance certificate for the period ended 30th June 2019 31/07/2019
MSE Submission of compliance certificate by compliance officer for execution of orders for the quarter ended 30th June 2019 31/07/2019
BSE/NSE Submission of Insurance payment receipt for renewal 31/07/2019
BSE No. of STR filed with FIU-IND for the month of June, 2019 (Including NIL STR) Before 31/07/2019
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