This is further to SEBI Circular No. SEBI/HO/MIRSD/MIRSD2/CIR/2016/95 dated September 26, 2016, SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/138 dated December 20, 2016, CIR/HO/MIRSD/MIRSD2/CIR/P/2017/64 dated June 22, 2017, CIR/HO/MIRSD/MIRSD2/CIR/PB/2017/107 dated September 25, 2017, SEBI/HO/MIRSD/MIRSD2/CIR/P/2017/123 dated November 29, 2017 and Exchange Notice Nos. 20160927-41, dated September 27, 2016, 20161221-20 dated December 21, 2016, 20170623-14 dated June 23, 2017, 20170925-34 dated September 25, 2017 and 20171129-19 dated November 29, 2017 respectively on the captioned subject.
In view of Commodity Derivatives segment addition by Exchange, the format for data pertaining to Clients’ funds and securities balance is being modified to incorporate details pertaining to commodity segment.
All stock brokers are required to upload the data as on last trading day of the month within seven calendar days of the last trading day of the month.
Stock brokers are requested to upload the data as on “November 30, 2018”, by December 07, 2018 under the link: (URL: https://befs.bseindia.com/)
Uploading path for file 1:- BEFS >> Enhanced Supervision >> Client Fund Securities Balance
Stock brokers are requested to note that there are 2 formats made available for submission of the data. One with columns pertaining to Commodity segment and one without the Commodity segment i.e. existing format
Further, Stock Broker must upload only one file from the drop down available i.e. with commodities and without commodities.
For Members not traded in Commodity segment:
File format: - Existing File format attached as “Annexure - 1A”
File naming convention: - ClgNo_CFS_ddmmyyyy
For Members traded in Commodity segment:
File format: - Attached as “Annexure – 1B”.
File naming convention: - ClgNo_CFS_COMM_ddmmyyyy
Uploading path for file 2:- BEFS >> Enhanced Supervision >> Client Fund Securities ISIN
File format: - Attached as Annexure – 2 (For file – 2).
File naming convention: - ClgNo_CFS_Details_ddmmyyyy
Stock brokers are may note that file formats must be in CSV – Coma Separated + Zip. Stock brokers are required to prepare the file in CSV comma separated format, then ZIP it and then upload. Also, Clg. No. in the naming convention has to be without zero and date should be the day on which the submission is done for csv and zip file.
Further, two files need to be uploaded separately in the above given paths. File – 1A/1B as applicable, is to be uploaded first and then File - 2. Only after the submission of file 1A/1B, file 2 can be uploaded.
Please find attached User manuals Annexure – 3 (for file 1A/1B) & Annexure – 4 (for file 2) submitting the information for ready reference.
Further, based on queries of the stock brokers FAQs are attached for ready reference as Annexure - FAQ.
Further, the Stock Brokers shall not be required to upload data for the following clients:
- Custodian settled clients
- Clients with zero funds and securities zero balances and also not traded in the last 12 months
In case of any clarification required you may connect:
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Name of officials
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Contact No
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Email id
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Priyanka/Ajinkya/Gayak/Krunal
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22725725/8853/8724/5632
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bse.rbs@bseindia.com
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For and on behalf of BSE Ltd.
Rohini Rasputra Ajinkya Nikam
Sr. Manager Associate Manager
(Brokers’ Supervision) (Brokers’ Supervision) |