| अनु क्रमांक
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आवश्यकता
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जमा करने की अंतिम तिथि
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संदर्भ
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प्रयोज्यता
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| 1
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Annual Accounts (as on 31st March)
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30th September
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SEBI Circular No: SMD/SED/0072/92 dated December 31, 1992
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| 2
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Half yearly net worth (as on 31st March)
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30th September
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SEBI (Stock Broker and Sub broker) Regulations, 1992
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To all registered members of the Exchange irrespective whether they are trading/ not trading
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| i.
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Half yearly net worth (as on 30th September)
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31st December
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SEBI (Stock Broker and Sub broker) Regulations, 1992
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To all registered members of the Exchange irrespective whether they are trading/ not trading
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| 3
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Proof of Indemnity Insurance
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- At the time of activation of membership
- within 30 days of the expiry of insurance cover
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SEBI vide Circular no. SMD/SED/RCG/270/96 dated January 19, 1996
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To all members who are trading / active on the exchange trading platform
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| 4
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Internal Audit Report for half year ended March 31st
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30th June
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SEBI Circular no. SEBI/MIRSD/Master Cir-04/2010 dated March 17, 2010
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To all the members who have either traded/ cleared a single trade irrespective of trades done on PRO/Client accounts during the respective half year
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| 5
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Internal Audit Report for half year ended September 30th
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31st December
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Exchange circular no. MSEI/INSP/IAR-15-16(1)/4615/2016 dated October 18, 2016
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To all the members who have either traded/ cleared a single trade irrespective of trades done on PRO/Client accounts during the respective half year
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| 6
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System Audit Report (for the period 1st April to 31st March)
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30th June
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Exchange circular no. MSEI/INSP/4092/2016 dated April 28, 2016
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To all members who have availed facilities such as CTCL/ IBT/ DMA/ SOR/Algo etc.
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| 7
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System Audit Report (for the period 1st April to 30th September)
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30th November
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Exchange circular no. MSEI/INSP/4585/2016 dated October 6, 2016
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To all members who have done Algo trading.
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| 8
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Quarterly Compliance Certificate
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Quarterly basis – within one month from end of calendar quarter
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Exchange Circular No MCX-SX/INSP/1028/2013 dated February 20, 2013
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To all the members who have traded a single trade irrespective of trades done on PRO/Client accounts during the respective Quarter
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| 9
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Submission of details of client funding done during month
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15th of the subsequent month
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Exchange Circular No MCX-SX/INSP/1067/2013 Dated March 18, 2013
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To all members who have traded in the relevant month in Cash Segment only
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