N O T I C E
4th August, 2017
Sub : ENHANCED SUPERIVISION OF STOCK BROKERS – UPLOADING OF CLEITN’S FUNDS BALANCE AND SEUCIRITIES BALANCE
With reference to SEBI Circulars No. SEBI/HO/MIRSD/MIRSD2/CIR/2016/95 dated September 26, 2016, SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/138, dated December 20, 2016, and CIR/HO/MIRSD/MIRSD2/CIR/P/2017/64, dated June 22, 2017 on the captioned subject matter, all Trading Members of the Exchange carrying out transactions under CSE-BSE arrangement and CSE-NSE arrangement are required to provide/ upload the data as on last trading day of the month within seven trading days of the subsequent month. Since the circular is effective from the month of July, 2017, all Trading Members are requested to provide following data as on July 31, 2017, in following excel format within August 07, 2017 for uploading the same from CSE’s end to both BSE and NSE:
FOR BSE TRANSACTIONS :
Client Name |
Unique Client Code |
Client PAN no |
Client Email id |
Client mobile number |
Fund balance (BSE) (Rs.) |
Net across Exchanges (Rs.) |
Total number of ISINs |
Total quantity of securities |
Quantity of securities pledged |
Funds raised |
Last balance settlement date |
Action |
FOR NSE TRANSACTIONS :
Client Name |
Unique Client Code |
Client PAN no |
Client Email id |
Client mobile number |
Fund balance (NSE) (Rs.) |
Net across Exchanges (Rs.) |
Total number of ISINs |
Total quantity of securities |
Quantity of securities pledged |
Funds raised |
Last balance settlement date |
Action |
Trading Members are advised to note that in the event of non-submission of the afore-said data within 7th August, 2017 for onward submission to BSE/NSE, the Exchange would be constrained to initiate disciplinary action.
Dhiraj Chakbraborty
Dy. General Manager