To All Members,
This is in continuation to Exchange notice no. 20210729-1 dated July 29, 2021 on the captioned matter wherein it was mentioned that trading members are required to upload certain custodian details of their clients w.e.f. August 01, 2021. Further it was also mentioned that the revised file format for new client upload shall be provided in a subsequent circular shortly.
In this regard, please find attached herewith the batch upload file formats:
a. For registration of new clients which has already been provided vide Exchange notice no. 20210517-38 dated May 17, 2021 - attached as Annexure A.
b. For filling the mandatory details related to Custodians for “applicable clients” - attached as Annexure B.
Members may also note that, in the file already being downloaded for the clients registered by you with the Exchange, three additional headers are being provided:
Path of the file :
Menu -> UCC -> Download All
Additional headers provided:
1.Create date and time
2. Approved: This field will show values “Yes/No/Pending”
3. PAN Validation Status: This field will show the values “Valid/Invalid/Pending”
Members are once again reminded and as per Exchange notice no. 20210729-1 dated July 29, 2021 that in case the UCCs is/are not uploaded by the trading member / not approved by the Exchange in the UCC system prior to execution of trade, the trading member shall be liable for penalty @ Rs.10,000/- per code per day till the same is uploaded and approved in the UCC system of the Exchange and any other disciplinary action that the Exchange may deem fit.
Trading Members are advised to take note and comply with the above guidelines.
In case of any queries, you may please contact at 022-22728435 / 22725785.
For and on behalf of BSE Ltd.
Kiran Sawant Samit Trivedi
Asst. General Manager Asst. General Manager
Broker’s Supervision Trading operations