| Amendment to PML (Maintenance of Records) Rules, 2005 |
This is in continuation to Exchange Notice No. 20170919-16 dated September 19, 2017, 20170925-17 dated September 25, 2017, 20171026-1 dated October 26, 2017, 20171123-34 dated November 23,2017, 20171226-2 dated December 26, 2017,20180123-9 dated January 23, 2018, 20180222-17 dated February 22, 2018 and 20180321-31 dated March 21, 2018 wherein stock brokers were advised to state/update their preparedness, mention the number of active clients and mention the number of clients who have complied with submitting Aadhaar numbers with respect to the client categories covered in the Amendment to PML (Maintenance of Records) Rules, 2005.
Members are requested to submit the following data/details as on date (cumulative):-
|
No.
|
Client category
|
Person
|
Preparedness
|
No. of Active Clients
|
No. of Clients who have Complied
|
Remark
|
|
1)
|
Individual
|
Client himself
|
Yes/ No
|
|
|
|
|
2)
|
Company
|
Managers, Officers or Employees holding attorney to transact on company’s behalf
|
Yes/ No
|
|
|
|
|
3)
|
Partnership Firm
|
Person holding attorney to transact on Firm’s behalf
|
Yes/ No
|
|
|
|
|
4)
|
Trust
|
Person holding attorney to transact on Trust’s behalf
|
Yes/ No
|
|
|
|
|
5)
|
Unincorporated association or body of individuals
|
Person holding attorney to transact on its behalf
|
Yes/ No
|
|
|
|
On the following link:-
(URL: https://befs.bseindia.com/) BEFS >> PMLA Amendment – June 1, 2017 >> PMLA Entry Form).
Members are hereby requested to note that, the number of clients complied to be mentioned should be the cumulative number of clients who have complied with submitting Aadhaar numbers with respect to the client categories covered in the Amendment to PML (Maintenance of Records) Rules, 2005.
Members are requested to submit/update the details by April 30, 2018; after which the above link will be disabled and data will be sent to SEBI.
For and on behalf of BSE Ltd.
Hitasha Gurbani
Asst. General Manager
Broker Supervision
|