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Due Dates for Compliance Reporting (2017-2018) *

Due Date Compliance Duration Concern Department
01-Apr-17 SEBI sub-brokers Renewal fee payment for the block of 5 years Yearly Membership Operations
08-Apr-17 Client Funding Reporting Monthly Broker Supervision
15-Apr-17 Quarterly Compliance Certificate Quarterly Broker Supervision
30-Apr-17 Net worth certificate in Margin Trading for CM Segment Half Yearly Membership Operations
30-Apr-17 Compliance certificate for Margin Trading for CM Segment Half Yearly Broker Supervision
08-May-17 Client Funding Reporting Monthly Broker Supervision
15-May-17 Disclosures by trading members (Capital market segment) regarding their holdings in listed companies. (For Quarter Ended March 17) Quarterly Trading Operations
31-May-17 Risk based supervision Yearly Broker Supervision
08-Jun-17 Client Funding Reporting Monthly Broker Supervision
30-Jun-17 Internal Audit Report for HYE March-2017 Half Yearly Broker Supervision
30-Jun-17 System Audit Report (Algo) Half Yearly Broker Supervision
30-Jun-17 System Audit Report Yearly Broker Supervision
01-Jul-17 Updation of PAN details of Dealers One time updation Broker Supervision
08-Jul-17 Client Funding Reporting Monthly Broker Supervision
15-Jul-17 Quarterly Compliance Certificate Quarterly Broker Supervision
08-Aug-17 Client Funding Reporting Monthly Broker Supervision
14-Aug-17 Disclosures by trading members (Capital market segment) regarding their holdings in listed companies. (For Quarter Ended June 17) Quarterly Trading Operations
08-Sep-17 Client Funding Reporting Monthly Broker Supervision
08-Oct-17 Client Funding Reporting Monthly Broker Supervision
15-Oct-17 Quarterly Compliance Certificate Quarterly Broker Supervision
31-Oct-17 Compliance certificate for Margin Trading for CM Segment Half Yearly Broker Supervision
31-Oct-17 Net worth certificate in Margin Trading for CM Segment for HYE September 2017 Half Yearly Membership Operations
31-Oct-17 Net worth certificate for all members for HYE March 2017 Half Yearly Membership Operations
31-Oct-17 Audited Financial Statements for FYE March 2017 Annual Membership Operations
08-Nov-17 Client Funding Reporting Monthly Broker Supervision
14-Nov-17 Disclosures by trading members (Capital market segment) regarding their holdings in listed companies. (For Quarter Ended September 17) Quarterly Trading Operations
30-Nov-17 Net worth certificate for HYE September 2017  Half Yearly Membership Operations
30-Nov-17 Risk based supervision Half Yearly Broker Supervision
30-Nov-17 System Audit Report (Algo) Half Yearly Broker Supervision
30-Nov-17 Internal Audit Report for HYE September2017 Half Yearly Broker Supervision
08-Dec-17 Client Funding Reporting Monthly Broker Supervision
08-Jan-18 Client Funding Reporting Monthly Broker Supervision
15-Jan-18 Quarterly Compliance Certificate Quarterly Broker Supervision
08-Feb-18 Client Funding Reporting Monthly Broker Supervision
14-Feb-18 Disclosures by trading members (Capital market segment) regarding their holdings in listed companies. (For Quarter Ended December 17) Quarterly Trading Operations
08-Mar-18 Client Funding Reporting Monthly Broker Supervision
Within 30 days from the date of expiry of the Insurance policy Proof of Insurance cover Annual Membership Operations

COMPLIANCE Daily Department
Client details for Margin Trading facility ------ Broker Supervision
Registration of Client code (Un-registered code) Check the UNREG & NP file on the trading day and NPF file on the next day. Broker Supervision
Registration of Location id of trading terminal Check the UNLC files on the trading day and LC file on the next trading day. Broker Supervision
Reporting of Reason for Client Code Modification Updating the reason for client code modifications in BEFS till next day afternoon 12:00 clock. Broker Supervision
High order to trade ratio in Equity derivatives & CDX segment Monitoring of order to trade ratio in F&O and CDX on a daily basis to avoid any charges or disciplinary action (cooling off) Broker Supervision
Client Margin Reporting-F&O Segment ------ Broker Supervision
Client Margin Reporting-Currency Derivative Segment ------ Broker Supervision
Client Code Modification File (CLD) ------ Broker Supervision
Collection of documents Timeline will be as and when sought for/there is change Broker Supervision
Spot deal reporting As and when off market transactions Broker Supervision
STR Reporting Monthly reporting Broker Supervision
Bank and demat account details reporting All new bank and demat accounts opened /closed to be reported  within one week of opening/closure of accounts. Broker Supervision
NISM Certification - NISM-Series-VII : Securities Operations and Risk Management ------ Broker Supervision (checked during inspection)
NISM Certification - NISM-Series-III A: Securities Intermediaries Compliance (Non-Fund) Certification Examination (SICCE) ------ Broker Supervision (checked during inspection)
NISM Certification - NISM- Series- VIII: Equity Derivative Certification Examination (EDCE). ------ Trading Operations (at the time of creation of Id in EQD). Also checked during Inspection.
NISM Series I: Currency Derivatives Certification Examination (New Users) (New Users & Renewal) ------ Trading Operations (at the time of creation of Id in CDX). Also checked during Inspection.
NISM Series IV: Interest Rate Derivatives Certification Examination (New Users) (New Users & Renewal) ------ Trading Operations (at the time of creation of Id in EQD and CDX). Also checked during Inspection.
NISM-Series-XIII: Common Derivatives Certification Examination (New Users) (New Users & Renewal) ------ Trading Operations (at the time of creation of Id in EQD and CDX). Also checked during Inspection.
Online Capturing of Member details through BEFS (BSE Electronic Filing System) ------ Membership Compliance

Prior Approvals
Change in designated directors/Ordinary Directors ------ Membership Operations
Change in shareholding / Increase in Share Capital In case of change in shareholding tantamount to change in control, Exchange final approval is also required Membership Operations
Activation / Deactivation of Proprietary trading facility ------ Membership Operations
Application for providing IML ------ Trading Operations
Application for providing IBT ------ Trading Operations
Application for providing DMA ------ Trading Operations
Application for Algo Trading ------ Trading Operations
Application for providing STWT (Mobile Trading) ------ Trading Operations
Application for SOR (Smart Order Routing) ------ Trading Operations
Application for change in name of member ------ Membership Operations
conversion of Membership Exchange final approval is also required Membership Operations
transfer of broking business / demerger / merger / amalgamation / scheme of arrangement / transmission of Membership Exchange final approval is also required Membership Operations
Activation of BOLT Ids, IML – Application for Approval and Application for User Id ------ Trading Operations
Advertisement to be issued by member for business purpose ------ Membership Operations
Members trading through other members ------ Membership Operations
Market Access through Authorised Persons  ------ Membership Operations
Change in Control ------ Membership Operations
Change in status and constitution ------ Membership Operations
Change in status and constitution of sub-broker (including change in control/change in partner/change in whole time and designated director) ------ Membership Operations
advertisement by sub-broker ------ Membership Operations
Change in name of member ------ Membership Operations
Upload of IML IDs, Activation / Deactivation / Shifting of IML IDs in case of vendor change / Modification of IML Ids ------ Trading Operations

Intimation
Appointment and change of Compliance Officer ------ Membership Operations
Change in address of member ------ Membership Operations
application for change in registered office ------ Membership Operations
change in MOA/AOA ------ Membership Operations
change in shareholding without change in control of sub-brokers ------ Membership Operations
change in ordinary director of sub-brokers ------ Membership Operations
changes in details of sub broker such as change in regd. office address / change in name / change in trade name ------ Membership Operations
change of name/trade name/address / opening of branch office/ updation of terminals/ change in segment for authorised persons                   ------ Membership Operations
change of name/trade name/address/ partners by Remisiers ------ Membership Operations

*Trading Members are also advised to refer to the Notices issued by the Exchange from time to time for additional information.