Compliance Calendar


Compliance Calendar:


September 2018

Segment Particulars Due Date
BSE BSE - Uploading of margin funding file for the month of December 2018 01/01/2019 to 08/01/2019
All Exchanges Uploading clients' fund balance and securities balances by the stock brokers on stock exchanges system as per SEBI circular of Enhanced supervision.(Subject to circular from respective exchanges) 07/01/2019
PMS PMS uploading of activity report on SEBI portal 05/01/2019
All Stock Exchanges Applicability of uploading of day-wise holding statement in the specified standard format to exchanges. Ref: NSE circular of Standardisation of Register of Securities, Holding Statement, Bank Book and Client Ledger(Weeekly basis) 01/01/2019
All Exchanges Contingency Drill/Mock Trading Session (Subject to circular to be issued from respective exchanges) 07/01/2019
Income Tax TDS Payment for the Month of December, 2018 for corporate and Individual. 07/01/2019
NSE Uploading of Margin Funding File for the month of December,2018 07/01/2019
Stamp Duty Payment of Stamp duty: Security and Commodity Exchanges 10/01/2019
Depository (NSDL/CDSL) Investor Grievances (Report) . CDSL & . NSDL 10/01/2019
BSE/NSE Submission of complience certificate by cempliance offcer for execution of orders 15/01/2019
MCX-SX Uploading of Margin Funding File for the month of December,2018 15/01/2019
MSE Submission of compliance certificate by compliance offcer for execution of orders for the quarter ended December 2018 31/01/2019
MCX-SX Submission of compliance certificate for half year ended December 2018 15/01/2019
NCDEX/MCX/NSE/BSE/MSE Statements of accounts for funds & securities to clients for the quarter ended 31-12-2018 31/01/2019
BSE No. of STR filed with FIU-IND for the month of October, 2018. (Including NIL STR) Before 31/01/2019
All Equity & Commodity Exchanges Uploading of Clients' Funds, collateral and other details lying with the member broker Weekly basis