|Submission of Internal Audit Report by trading/ clearing members for half year ended September 30, 2018
This is further to Exchange notice no. 20181010-12 dated October 10, 2018 and 20181106-34 dated November 6, 2018 wherein all trading members / clearing members were directed to submit the Internal Audit report for half year ended September 30, 2018 to the Exchange on or before November 30, 2018.
Stock brokers are reminded to submit the Internal Audit Report electronically through BEFS before the due date i.e November 30, 2018. Stock brokers may please note that the submission of Internal Audit Report for the half year ended September 30, 2018 after November 30, 2018 shall be treated as non-compliance and charges would be levied for the said non-compliance as below:
For Active Trading Members (who are required to submit the internal audit report)
Due time for submission : 2 Months (i.e November 30, 2018)
1 For 1st month after due date (from December 1, 2018), Fine of Rs. 200/- per day
2 Charges of Rs. 500,/ per day from 2nd month after due date (i.e January 1, 2019 onwards) till date of submission or disablement
2 weeks’ notice shall be given to the Member after the 3rd month from the due date ( i.e from March 1, 2019), subsequent to which the Member shall be disabled in all segments of the Exchange.
No documents are to be submitted in physical form.
In case of any queries / clarification, the stock brokers may contact Helpdesk on 61363100.
For and on behalf of BSE Ltd.
Jyoti Thukral Priya Pillai
Sr. Manager Sr. Manager
Broker Supervision Broker Supervision