12th October, 2018
Sub: Submission of Internal Audit Report for the half year
Ending 30th September, 2018 within 30th November, 2018.
Attention of the trading members of the Exchange is invited to SEBI circular No. MIRSD/ DPSIII/ Cir-26/ 08 dated August 22, 2008 and MRD/DMS/Cir-29/2008 dated October 21, 2008 on the captioned subject requiring all trading members to carry out complete internal audit on a half yearly basis by independent qualified Chartered Accountants or Company Secretaries or Cost and Management Accountants who are in practice and who do not have any conflict of interest.
In compliance of the above SEBI directives, all Trading Members are advised to submit Internal Audit Report for the half year ended 30th September, 2018 along with Annexure I, Annexure II and Management comments on or before 30th November, 2018.
Members participating in CSE-BSE and CSE-NSE arrangements may submit single Internal Audit Report across different trading segments.
The Internal Audit reports received from members shall be monitored and appropriate steps shall be taken if the reports do not meet minimum expected quality levels.
In case of any queries/clarification, the trading members may contact the undersigned /Assistant Manager (Surveillance) of the Exchange.