| All Exchanges |
Contract note serial no. to be setup starting from No. 1 |
01.04.2024 |
| NSE |
Revision in Transaction Charges circular ref No: NSE/FA/61137
dated: March 14, 2024 |
01.04.2024 |
| SEBI - Depositories |
Safeguards to address the concerns of the investors on transfer of
securities in dematerialized mode circular ref No: SEBI/HO/MRD/MRD-PoD-2/P/CIR/2024/18 dated:March 20, 2024 |
01.04.2024 |
| KRA |
Implementation of KRA circular for Verification of Non Aadhar /
Deemed OVD Records- Circular Ref.
No.CVL/OPS/INTERM/GENRL/24-193 dated March 28, 2024 |
01.04.2024 |
| SEBI |
Extension of timeline for implementation of provisions of circular
SEBI/HO/OIAE/IGRD/CIR/P/2023/156 dated September 20, 2023
on Redressal of investor grievances through the SEBI Complaint
Redressal (SCORES) Platform and linking it to Online Dispute
Resolution platform. |
01.04.2024 |
| SEBI |
Implementation of Most Important Terms and Conditions (MITC)
Circular ref. no.SEBI/HO/MIR SD/MIR SD-PoD-1/P/CIR/2023/180
Dated November 13,2023 (for New Clients) |
01.04.2024 |
| NSE and BSE |
Introduction of Annual maintenance charges towards authorised
persons circular Ref No:NSE/COMP/60859 dated: February
26,2024 and BSE Notice no. 20240304-9 dated March 4, 2024 |
01.04.2024 |
| NSE |
Implementation of new crieteria for AP inspection. Ref.no. NSE
Circular dated June, 2, 2023 NSE/COMP/56947 from the F.Y.2024-
25 |
01.04.2024 |
| All Exchanges |
Settlement of running account (For those who has opted for monthly settlement) SEBI Circular no. SEBI/HO/MRRSFPoD1/P/CIR/2023/197 dated 28.12.2023 |
05.04.2024 and 06.04.2024 |
| All Exchanges |
Settlement of running account (For quarterly settlement) SEBI Circular no. SEBI/HO/MRRSF-PoD1/P/CIR/2023/197 dated 28.12.2023 |
05.04.2024 and 06.04.2024 |
| All Exchanges |
Contingency Drill / Mock Trading Session (Subject to circular to
be issued by respective exchanges) |
06.04.2024 |
| PMS |
PMS- Certification for Activity Report- through SEBI portal for the month of March,2024 |
Within 7 Working days |
| All Members of exchanges/PM S/ RA/IA / DP |
Publishing the data on complaints received against intermediary or against issues dealt by intermediary and redressal there of on website as on 31.03.2024 (Investor Charter compliance) |
07.04.2024 |
| All Exchanges |
Upload the details of all complaints received during the month of March, 2024 |
07.04.2024 |
| PMS |
Submission of Offsite Inspection data reporting to SEBI
as per the specified formats for all PMS clients on quarterly basis
within 10 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 ) |
10.04.2024 |
| All Exchanges |
Submission of summary of quarterly settlement of clients’ funds to exchanges |
10.04.2024 |
| Depositary |
Investor Grievances (Report)
CDSL and NSDL |
10.04.2024 |
| All Exchanges |
Submission of Surveillance Obligations report for the quarter ended 31.03.2024 |
15.04.2024 |
| NSE / BSE / MCX/NCDEX CDSL/NSDL |
Reporting of Cyber Security Incidents for the quarter 1st January, 2024 to 31st March, 2024 |
15.04.2024 |
| PMS |
Self certificate by distributor for code of conduct |
15.04.2024 |
| All Exchanges |
Reporting for Artificial Intelligence (AI) and Machine Learning (ML) applications and systems offered and used by market intermediaries for the year ended March, 2024. |
15.04.2024 |
| NSE / BSE / MCX/ NCDEX |
FATF Public statement on jurisdictions on call for action and
increased monitoring – Feb 2024 Plenary Circular Ref
No:NSE/INSP/ 61267 dated: March 21, 2024 and BSE Notice no.
20240321-44 dated March 21, 2024 |
15.04.2024 |
| All Exchanges |
Submission of UCC wise quarterly settlement details to exchanges |
20.04.2024 |
| NSE |
Issue of STT statements for the F.Y. 2023-24 to clients |
30.04.2024 |
| NSE / BSE |
Submission of Margin Trading Compliance Certificate and Networth
certificate for the half year ended March 31, 2024 (For those who
have availed Margin Trading Facility) |
30.04.2024 |
| CDSL / NSDL |
Submission of tariff structure to CDSL/NSDL |
30.04.2024 |
| NSE / BSE / MSE / MCX/ NCDEX |
Issuance of Global Report to clients for the trade executed during the F.Y. 2023-24 |
30.04.2024 |
| CDSL / NSDL |
Risk Assessment Template for the period from 01.10.2023 to 31.03.2024 (Subject to circular to be issued from CDSL / NSDL) |
30.04.2024 |
| PMS |
Submission of Annual Corporate Governance report on PMS SEBI
portal |
30.04.2024 |
| CDSL / NSDL |
Annual Statement of DP Holding to clients |
30.04.2024 |
| NSE/BSE |
Submission of Details of AP Inspections undertaken during the
quarter ended 31.03.2024 |
30.04.2024 |
| BSE |
No. of STR filed with FIU-IND for the month of March, 2024. (Including NIL STR) |
Before 30.04.2024 |
| NSE/BSE/MCX |
Uploading of day-wise Holding statement in the specified standard
format to exchange (within next day) |
Daily basis |
| NSE / BSE/ MCX |
Uploading of clients mapped with Authorised Persons (AP) before
the next 2 trading days of subsequent week. |
Weekly basis |
| All Exchanges |
Requirement of sending a complete ‘Statement of Accounts’ for funds, securities and commodities in respect of each of its clients (within next four trading days of subsequent week) |
Weekly basis |
| Commodity Exchanges |
Reporting of client level Cash and Cash Equivalent Balances to exchanges (within next four trading days of subsequent week) |
Weekly basis |
| NCDEX |
Uploading of Holding statement in the specified standard format to exchange (within four trading days of subsequent week) |
Weekly basis |
