This is in continuation to BSE notice no. 20160930-12 dated September 30, 2016, 20161007-7 dated October 7, 2016, 20161107-2 dated November 7, 2016, and 20161122-6 dated November 22, 2016 whereby stock brokers were required to submit the Annual System Audit Report latest by November 30, 2016.
Please note that in case of any “Non compliances/ Work in progress/ Observation/Suggestion” pointed out by the auditor in System audit report for the period ended September 2016, stock brokers are required to take corrective action and submit the CAR(Corrective Action report) to the Exchange through BEFS latest by February 28, 2017.
The CAR (Corrective Action report) should be in the pdf format only and naming convention should be “CLGNO_CAR_SEP16.PDF”. The provision to submit the System audit report and related documents only in electronic form through BEFS (BSE Electronic Filing System) is enabled at following link:
Stock brokers are once again reminded to submit the CAR (Corrective Action Report) on their letterhead and in the format as attached herewith (as Annexure), latest by February 28, 2017 through BEFS only.
In case of assistance in submission of the report stock brokers are requested to contact HelpDesk at 022 6136 3100 (Hunting).
In case of any further clarification the stock brokers may contact the following officials.
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Sr. No.
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Name of Official
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Tel No.
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1.
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Ms. Jyoti Thukral
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022-22728214
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2.
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Ms. Priya Pillai
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022-22728598
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Hitasha Gurbani Jyoti Thukral
Asst. General Manager Manager
Broker Supervision Broker Supervision
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