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Notices
Notice No20180214-4Notice Date14 Feb 2018
CategoryComplianceSegmentGeneral
SubjectAnnual System Audit of Stock Brokers / Trading members
Content

 

This is in continuation to BSE notice no. 20170929- 16 dated September 29, 2017 whereby stock brokers were required to submit corrective action report latest by February 28, 2018.
Please note that in case of any “Non compliances/ Work in progress/ Observation/Suggestion” pointed out by the auditor in System audit report for the period ended September 2017, stock brokers are required to take corrective action and submit the CAR(Corrective Action report) to the Exchange through BEFS latest by February 28, 2018.
The CAR (Corrective Action report) should be in the pdf format only and naming convention should beCLGNO_CAR_SEP17.PDF”. The provision to submit the System audit report and related documents only in electronic form through BEFS (BSE Electronic Filing System) is enabled at following link:
https://befs.bseindia.com -> System Audit Report -> Corrective Action Report. 
 
Stock brokers are once again reminded to submit the CAR (Corrective Action Report) on their letterhead and in the format as attached herewith (as Annexure), latest by February 28, 2018 through BEFS only.
 
 In case of assistance in submission of the report stock brokers are requested to contact HelpDesk at 022 6136 3100 (Hunting).
 
In case of any further clarification the stock brokers may contact the following officials.
 

 Sr. No.
Name of Official
Tel No.
1.
Ms. Jyoti Thukral
022-22728214
2.
Ms. Priya Pillai
022-22728598

 
 
 
 
Hitasha Gurbani                                                                                      Jyoti Thukral
Asst. General Manager                                                                           Sr. Manager
Broker Supervision                                                                                  Broker Supervision
 
Attachments
Annexure .xls