ENHANCED SUPERIVISION OF STOCK BROKERS – UPLOADING OF CLEITN’S FUNDS BALANCE AND SEUCIRITIES BALANCE

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