Due Date Compliance Duration Concern Department 15-Apr-23 Reporting for Artificial Intelligence (AI) and Machine Learning (ML) applications Quarterly Broker Supervision N/A Reporting of Cyber security incident Immediate Information Security 15-Apr-23 Reporting of Cyber security incident(s) Quarterly Information Security 15-Apr-23 Surveillance Obligations for Trading Members – Quarterly Compliance Reporting Quarterly Surveillance 30-Apr-23 Net worth certificate in Margin Trading for CM Segment for HYE March 2023 Half Yearly Membership Operations 30-Apr-23 Compliance certificate for Margin Trading for CM Segment Half Yearly Broker Supervision 31-May-23 Net worth certificate for all members for HYE March 2023 Half Yearly Membership Operations 31-May-23 Internal Audit Report for HYE March-2023 Half Yearly Broker Supervision 31-May-23 Risk based supervision Yearly Broker Supervision 30-Jun-23 System Audit Report (Algo) Half Yearly Information Security 30-Jun-23 System Audit Report Yearly Information Security 30-Jun-23 Cyber Audit Report (Algo) Half Yearly Information Security 30-Jun-23 Cyber Audit Report Yearly Information Security N/A Reporting of Cyber security incident Immediate Information Security 15-Jul-23 Reporting of Cyber security incident(s) Quarterly Information Security 16-Aug-23 Maintenance of a website by stock brokers and depository participants --- Broker Supervision 15-Oct-23 Reporting for Artificial Intelligence (AI) and Machine Learning (ML) applications Quarterly Broker Supervision N/A Reporting of Cyber security incident Immediate Information Security 15-Oct-23 Reporting of Cyber security incident(s) Quarterly Information Security 31-Oct-23 Audited Financial Statements for FYE March 2023 Annual Membership Operations 31-Oct-23 Compliance certificate for Margin Trading for CM Segment Half Yearly Broker Supervision 31-Oct-23 Net worth certificate in Margin Trading for CM Segment for HYE September 2023 Half Yearly Membership Operations 30-Nov-23 Net worth certificate for HYE September 2023  Half Yearly Membership Operations 30-Nov-23 Risk based supervision Half Yearly Broker Supervision 30-Nov-23 System Audit Report (Algo) Half Yearly Information Security 30-Nov-23 Cyber Audit report (Algo) Half Yearly Information Security 30-Nov-23 Internal Audit Report for HYE September 2023 Half Yearly Broker Supervision 15-Jan-24 Reporting for Artificial Intelligence (AI) and Machine Learning (ML) applications Quarterly Broker Supervision N/A Reporting of Cyber security incident Immediate Information Security 15-Jan-24 Reporting of Cyber security incident(s) Quarterly Information Security Submission of summary of settlement of clients’ funds Within 2 Trading Days post settlement date Monthly / Quarterly Broker Supervision Submission of UCC wise settlement details Within 10 Trading Days post settlement date Monthly / Quarterly Broker Supervision Within 30 days from the date of expiry of the Insurance policy Proof of Insurance cover Annual Membership Operations

COMPLIANCE Weekly (W.e..f April 2023) Department Submission of Details of client assets data As on last trading day of every week on or before the next three trading days. Broker Supervision Submission of Cash & Cash Equivalent For all calendar days of the reporting week on or before the next four trading days of subsequent week Broker Supervision

COMPLIANCE Daily Department Details of Margin Trading facility Upload MG, MGA & MGB file daily Broker Supervision Registration of Location id of trading terminal Check the UNLC files on the trading day and LC file on the next trading day. Broker Supervision Reporting of Reason for Client Code Modification Updating the reason for client code modifications in BEFS till next day afternoon 12:00 clock. Broker Supervision High order to trade ratio in Equity, Equity Derivatives, Currency Derivatives, Interest Rate Derivatives and Commodity Derivatives segment Monitoring of order to trade ratio in Equity, Equity Derivatives, Currency Derivatives, Interest Rate Derivatives and Commodity Derivatives segment on a daily basis to avoid any charges or disciplinary action (cooling off) Broker Supervision Collection of documents Timeline will be as and when sought for/there is change Broker Supervision Updation of Name/PAN of clients appearing in UCC mismatch file Refer PAN mismatch file daily Broker Supervision Updation of Name/PAN details of Dealers Refer Dealer PAN mismatch file daily Broker Supervision STR Reporting Monthly reporting Broker Supervision Reporting of Bank & Demat Accounts Within 7 days from opening/closure of account Broker Supervision Uploading of Holding Statement For all calendar days of the reporting day on T+1 basis Broker Supervision Submission of Bank Balances For all calendar days of the reporting day on T+1 basis Broker Supervision NISM Certification - NISM- Series- VIII: Equity Derivative Certification Examination (EDCE). At the time of creation of Id in EQD Trading Operations. Also checked during Inspection. NISM Series I: Currency Derivatives Certification Examination (New Users) (New Users & Renewal) At the time of creation of Id in CDX Trading Operations. Also checked during Inspection. NISM Series IV: Interest Rate Derivatives Certification Examination (New Users) (New Users & Renewal) At the time of creation of Id in EQD and CDX Trading Operations. Also checked during Inspection. NISM-Series-XIII: Common Derivatives Certification Examination (New Users) (New Users & Renewal) At the time of creation of Id in EQD and CDX Trading Operations. Also checked during Inspection. Online Capturing of Member details through BEFS (BSE Electronic Filing System) i.e. General details/Key Management Personnel Data/Associate/Group Company details/Other Details  and ------ Membership Compliance (Refer Notice nos. 20130412-6 dated 12th April, 2013, 20160106-6 dated January 6, 2016, 20160303-20 dated March 3, 2016, 20160310-13 dated March 10, 2016, 20160316-16 dated March 16, 2016,  20160927-41 dated September 27, 2016, 20161128-23 dated November 28, 2016, 20190219-21 dated February 19, 2019) Updation of PAN details of KMP in BEFS Within 7 days from such change Membership Compliance

Prior Approvals Application for providing ETI Exchange Approval Required Trading Operations Application for providing IBT Exchange Approval Required Trading Operations Application for providing DMA Exchange Approval Required Trading Operations Application for Algo Trading Exchange Approval Required Trading Operations Application for providing STWT (Mobile Trading) Exchange Approval Required Trading Operations Application for SOR (Smart Order Routing) Exchange Approval Required Trading Operations Upload of ETI IDs, Activation / Deactivation / Shifting of ETI ------ Trading Operations IDs in case of vendor change / Modification of ETI IDs Change in designated directors/Ordinary Directors ------ Membership Operations Change in shareholding / Increase in Share Capital In case of change in shareholding tantamount to change in control, Exchange final approval is also required Membership Operations Activation / Deactivation of Proprietary trading facility ------ Membership Operations Conversion of Membership Exchange final approval is also required Membership Operations Transfer of broking business / demerger / merger / amalgamation / scheme of arrangement / transmission of Membership Exchange final approval is also required Membership Operations Application for change in name of member ------ Membership Operations Advertisement to be issued by member for business purpose ------ Membership Operations Members trading through other members ------ Membership Operations Market Access through Authorised Persons  ------ Membership Operations Change in Control ------ Membership Operations Change in status and constitution ------ Membership Operations Change in name of member ------ Membership Operations

Intimation Appointment and change of Compliance Officer ------ Membership Operations Change in Address of member ------ Membership Operations Application for change in Registered Office ------ Membership Operations Change in MOA/AOA ------ Membership Operations Change of name/trade name/address / opening of branch office/ updation of terminals/ change in segment for authorised persons ------ Membership Operations Change of name/trade name/address/ partners by Remisiers ------ Membership Operations

*Trading Members are also advised to refer to the Notices issued by the Exchange from time to time for additional information.