This has reference to the formats for submission of Internal Audit Report and Risk Based Supervision (RBS).
To simplify the submission process and ensure uniform formats across Exchanges for respective segments, the formats for Internal Audit Report and Risk Based Supervision (RBS) submissions have been unified, under the guidance of SEBI and in consultation with other Exchanges. Accordingly, the formats of Internal Audit Reports and Risk Based Supervision are attached as Annexure A and B respectively.
Standardization of aforesaid reports is done based on formats applicable for the half-year ended March 31, 2021 and is subject to modification every half-year considering the regulatory changes by SEBI/Exchange. Further, the applicability of relevant points in uniform formats for both the above submissions have been broadly categorized in Annexure A & B.
The updated format of Internal Audit Report and Risk Based Supervision (RBS) – information submission for the half-year ending September 30, 2021, along with relevant guidelines and annexures, shall be communicated through a separate notice.
Members may kindly note that the submissions w.r.t above reports for half-year ended March 31, 2021, shall be made, in formats prescribed vide Exchange notice no. 20210422-42 dated April 22, 2021 for submission of Internal Audit Report for half year ended March 31, 2021 and notice no. 20210407-60 dated April 7, 2021 on Risk Based Supervision (RBS) data submission for year ended March 31, 2021.
All the members are requested to take note of the same.
In case of any queries/clarifications, you may send an email on the following email address.
For and on behalf of BSE Ltd.
Hiteshkumar Desai Kiran Sawant
Addtnl. General Manager Asst General Manager
Broker Supervision Broker Supervision
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