| INVESTMENT ADVISORS |
Implementation of @ Valid UPI IDs for all investors facing collection bank a/c |
06.10.2026 |
| RESEARCH ANALYSTS |
Implementation of @ Valid UPI IDs for all investors facing collection bank a/c |
06.10.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Disclosure of complaints received and their redressal status, as on 30.09.2026, in accordance with Investor Charter compliance requirements on the Websites |
07.10.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Upload the details of all complaints received during the month of September, 2026, to Exchange |
07.10.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Disclosure of complaints received and their redressal status, as on 30.09.2026, in accordance with Investor Charter compliance requirements on the Websites |
07.10.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of Regulatory Freeze and unfreeze Order details by Participants through NSDL e-PASS portal - NSDL |
07.10.2026 |
| PORTFOLIO MANAGERS |
Disclosure of complaints received and their redressal status, as on 30.09.2026, in accordance with Investor Charter
compliance requirements on the Websites |
07.10.2026 |
| PORTFOLIO MANAGERS |
Uploading of Activity Report- through SEBI portal for the month of September, 2026 |
09.10.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Investor Grievances Report (Record of all the BO grievances received at DP, Main / Branch) to CDSL - NSDL for the month of September 2026 |
10.10.2026 |
| 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 |
10.10.2026 |
| 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 ,2026 |
10.10.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of the report of Modification in URL reported to CDSL within 3 days of such changes |
10.10.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Reporting of STR findings with FIU-India by DP to CDSL for the month of September, 2026 |
10.10.2026 |
| 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, 2026 |
10.10.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of Surveillance Obligations report for the quarter ended 30.09.2026 |
15.10.2026 |
| 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, 2026 having ALGO facilities |
15.10.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Reporting of Cyber Security Incidents for the quarter ended 30.09.2026 (Common reporting to NSE only if having multiple
membership) |
15.10.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of Surveillance Obligations report for the quarter ended 30.09.2026 |
15.10.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Reporting of Cyber Security Incidents for the quarter ended 30.09.2026 |
15.10.2026 |
| PORTFOLIO MANAGERS |
Submission of Offsite Inspection data reporting for the Quarter Ended 30.09.2026 to SEBI as per the specified formats for all
PMS clients on Quarterly basis within 15 days from end of the Quarter. (Subject to mail to be received from APMI) |
15.10.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Settlement of running account (For quarterly settlement) |
16.10.2026 - 17.10.2026 |
| 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) |
16.10.2026 - 17.10.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of report for Non-profit organization transactions report by 15th of next month to FIU-Ind |
20.10.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Compliance Report w.r.t Same Mobile Number/Email ID captured for multiple accounts to NSDL |
25.10.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of Details of AP Inspections undertaken during the quarter ended 30.09.2026 (Even if NIL AP inspected,
submission is mandatory) |
31.10.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of Annual Returns for the period ended 31st March, 2026 to exchange and clearing corporation |
31.10.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of Networth Certificate and Audited Financial Statements as at 31.03.2026 |
31.10.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of Margin Trading Compliance Certificate for the half year ended September 30, 2026 (For those who have availed Margin Trading Facility) |
31.10.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Submission of Asset Inventory details and certification to NSE for the period ended 31.03.2026 (Subject to circular to be issued by NSE) |
31.10.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Remediation of findings from the audit and ensuring compliance with respect to SEBI Circular for Compliance to Digital
Accessibility Circular- ‘Rights of Persons with Disabilities Act, 2016 and rules made thereunder-mandatory compliance by all Regulated Entities’SEBI Circular: HO/(411)2026-ITD-5_DIV2/I/17922/2026 |
31.10.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of Networth certificate and Annual financial statements for CDSL and NSDL as at 31.03.2026 |
31.10.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Submission of Risk Based supervision for the period ended 30.09.2026 - (Subject to circular to be issued by respective DPs) |
31.10.2026 |
| DEPOSITORY PARTICIPANTS (NSDL - CDSL) |
Remediation of findings from the audit and ensuring compliance with this circular. SEBI Circular for Compliance to Digital Accessibility Circular ‘Rights of Persons with Disabilities Act, 2016 and rules made thereunder-mandatory compliance by all Regulated Entities’SEBI Circular: HO/(411)2026-ITD-5_DIV2/I/17922/2026 |
31.10.2026 |
| PORTFOLIO MANAGERS |
Remediation of findings from the audit and ensuring compliance with this circular. w.r.t. SEBI Circular for Compliance to Digital Accessibility Circular ‘Rights of Persons with Disabilities Act, 2016 and rules made thereunder-mandatory compliance by all Regulated Entities’SEBI Circular: HO/(411)2026-ITD-5_DIV2/I/17922/2026 |
31.10.2026 |
| INVESTMENT ADVISORS |
Submit the compliance audit report/adverse findings of audit (ATR)/client level segregation certificate to IAASB within a period
of one month from the date of the audit report but not later than October 31, 2026 |
31.10.2026 |
| INVESTMENT ADVISORS |
Submission of the periodic report for half year ended 30.09.2026 (Subject to email to be received from BSE) |
31.10.2026 |
| INVESTMENT ADVISORS |
Remediation of findings from the audit and ensuring compliance with this circular. w.r.t. SEBI Circular for Compliance to Digital Accessibility Circular ‘Rights of Persons with Disabilities Act, 2016 and rules made thereunder-mandatory compliance by all Regulated Entities’ SEBI Circular: HO/(411)2026-ITD-5_DIV2/I/17922/2026 |
31.10.2026 |
| RESEARCH ANALYSTS |
Submit the compliance audit report/adverse findings of audit (ATR)/client level segregation certificate to RAASB within a
period of one month from the date of the audit report but not later than October 31, 2026 |
31.10.2026 |
| RESEARCH ANALYSTS |
Submission of the periodic report for half year ended 30.09.2026 (Subject to email to be received from BSE) |
31.10.2026 |
| RESEARCH ANALYSTS |
Remediation of findings from the audit and ensuring compliance with this circular. w.r.t. SEBI Circular for Compliance to Digital Accessibility Circular ‘Rights of Persons with Disabilities Act, 2016 and rules made thereunder-mandatory compliance by all Regulated Entities’ SEBI Circular: HO/(411)2026-ITD-5_DIV2/I/17922/2026 |
31.10.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
No. of STR filed with FIU-IND for the month of September, 2026. (Including NIL STR) (BSE) |
Before 31.10.2026 |
| STOCK BROKERS (ALL EXCHANGES) |
Implementation of circular for handling of clients unpaid securities by trading members circular dated July, 03, 2026
HO/38/11(92026-mirsd-pod/1/15382/2026) (The amended provisions paragraph no. 46.1 to 46.11) |
31.10.2026 |
| 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 |
| STOCK BROKERS (ALL EXCHANGES) |
Uploading of Client-wise Collateral Segregation details to Clearing Corporation/Clearing member in the prescribed format on T 1 basis |
Daily basis |
