1-Apr-18 | SEBI sub-brokers Renewal fee payment for the block of 5 years | Yearly | Membership Operations |
4-Apr-18 | Client Funds and Securities Balance | Monthly |
Broker Supervision |
4-Apr-18 | Details of Client Assets | Monthly |
Broker Supervision |
8-Apr-18 | Client Funding Reporting | Monthly |
Broker Supervision |
15-Apr-18 | Quarterly Compliance Certificate | Quarterly |
Broker Supervision |
30-Apr-18 | Net worth certificate in Margin Trading for CM Segment | Half Yearly |
Membership Operations
|
30-Apr-18 | Compliance certificate for Margin Trading for CM Segment | Half Yearly |
Broker Supervision |
30-Apr-18 | Updation of PAN details of Dealers | One time updation |
Broker Supervision |
30-Apr-18 | Updation of PAN details of KMP/Directors in BEFS | One time updation |
Membership Compliance
|
7-May-18 | Client Funds and Securities Balance | Monthly |
Broker Supervision |
8-May-18 | Client Funding Reporting | Monthly |
Broker Supervision |
15-May-18 | Disclosures by trading members (Capital market segment) regarding their holdings in listed companies. (For Quarter Ended March 18) | Quarterly |
Trading Operations |
30-May-18 | Net worth certificate for all members for HYE March 2018 | Half Yearly |
Membership Operations
|
31-May-18 | Risk based supervision | Yearly |
Broker Supervision |
31-May-18 | Internal Audit Report for HYE March-2018 | Half Yearly |
Broker Supervision |
7-Jun-18 | Client Funds and Securities Balance | Monthly |
Broker Supervision |
8-Jun-18 | Client Funding Reporting | Monthly |
Broker Supervision |
30-Jun-18 | System Audit Report (Algo) | Half Yearly |
Broker Supervision |
30-Jun-18 | System Audit Report | Yearly |
Broker Supervision |
6-Jul-18 | Client Funds and Securities Balance | Monthly |
Broker Supervision |
8-Jul-18 | Client Funding Reporting | Monthly |
Broker Supervision |
15-Jul-18 | Quarterly Compliance Certificate | Quarterly |
Broker Supervision |
7-Aug-18 | Client Funds and Securities Balance | Monthly |
Broker Supervision |
8-Aug-18 | Client Funding Reporting | Monthly |
Broker Supervision |
14-Aug-18 | Disclosures by trading members (Capital market segment) regarding their holdings in listed companies. (For Quarter Ended June 18) | Quarterly |
Trading Operations |
7-Sep-18 | Client Funds and Securities Balance | Monthly |
Broker Supervision |
8-Sep-18 | Client Funding Reporting | Monthly |
Broker Supervision |
30-Sep-18 | Audited Financial Statements for FYE March 2018 | Annual |
Membership Operations
|
5-Oct-18 | Client Funds and Securities Balance | Monthly |
Broker Supervision |
8-Oct-18 | Client Funding Reporting | Monthly |
Broker Supervision |
15-Oct-18 | Quarterly Compliance Certificate | Quarterly |
Broker Supervision |
31-Oct-18 | Compliance certificate for Margin Trading for CM Segment | Half Yearly |
Broker Supervision |
31-Oct-18 | Net worth certificate in Margin Trading for CM Segment for HYE September 2018 | Half Yearly |
Membership Operations
|
7-Nov-18 | Client Funds and Securities Balance | Monthly |
Broker Supervision |
8-Nov-18 | Client Funding Reporting | Monthly |
Broker Supervision |
14-Nov-18 | Disclosures by trading members (Capital market segment) regarding their holdings in listed companies. (For Quarter Ended September 18) | Quarterly |
Trading Operations |
30-Nov-18 | Net worth certificate for HYE September 2018 | Half Yearly |
Membership Operations
|
30-Nov-18 | Risk based supervision | Half Yearly |
Broker Supervision |
30-Nov-18 | System Audit Report (Algo) | Half Yearly |
Broker Supervision |
30-Nov-18 | Internal Audit Report for HYE September 2018 | Half Yearly |
Broker Supervision |
7-Dec-18 | Client Funds and Securities Balance | Monthly |
Broker Supervision |
8-Dec-18 | Client Funding Reporting | Monthly |
Broker Supervision |
7-Jan-19 | Client Funds and Securities Balance | Monthly |
Broker Supervision |
8-Jan-19 | Client Funding Reporting | Monthly |
Broker Supervision |
15-Jan-19 | Quarterly Compliance Certificate | Quarterly |
Broker Supervision |
7-Feb-19 | Client Funds and Securities Balance | Monthly |
Broker Supervision |
8-Feb-19 | Client Funding Reporting | Monthly |
Broker Supervision |
14-Feb-19 | Disclosures by trading members (Capital market segment) regarding their holdings in listed companies. (For Quarter Ended December 18) | Quarterly |
Trading Operations |
7-Mar-19 | Client Funds and Securities Balance | Monthly |
Broker Supervision |
8-Mar-19 | Client Funding Reporting | Monthly |
Broker Supervision |
Within 30 days from the date of expiry of the Insurance policy | Proof of Insurance cover | Annual |
Membership Operations
|