Notice No.   20220711-4   Notice Date   11 Jul 2022
Category   Compliance   Segment   General
Subject   Charges for trading with unregistered UCC/UCC without PAN for the month of June, 2022

 Please refer to SEBI circular no. SMDRP/Policy/CIR-39/2001 dated July 18, 2001 wherein UCC has been made mandatory for all clients and Exchange notice no. 20121026-7 dated October 26, 2012 regarding non/late registration charges for trading without registration of client code along with PAN details.


The Exchange has been downloading to the Trading members on a daily basis cumulative exception report namely UNREG1ddmmyy, UNREG2ddmmyy, UNREG3ddmmyy, UNREG4ddmmyy, NP and NPF files containing details of unregistered client codes/client codes without PAN who have traded in Exchange. Charges of Rs 10,000/- per client code per day are levied on the member for trading with the unregistered UCC/UCC without PAN w.e.f November 1, 2012.


The charges file for the month of June, 2022 has been downloaded with the file -name NPSmmyy.xxxx (NPS0622.CLG No. for June, 2022) in today’s EQUITY TRANSACTION FOLDER in Extranet. The charges as indicated in the NPS file would be debited to the General Charges Account.


The Trading members are advised to ensure strict compliance and register the client codes with the Exchange before executing the trades on their behalf.


In case of any queries / clarification, Trading members may contact the under mentioned officials.





Ms. Josephine Baretto


Mr. Kiran Sawant




 For and on behalf of BSE Ltd.,


Ketan Jantre

Sanjay Pardiwala

SGM-Trading Operations

DGM- Trading Operations