Dated: 29th April 2013
Re: Submission of Internal Audit Report for the half year ending 31st March 2013.
Members of the Exchange are hereby intimated that they are required to submit Internal Audit Report for the half year ended on March 2013 along with annexures and management comments.
Further, members are advised to submit Internal Audit Report for the half year ended 31st March, 2013 along with annexures, if any and management comments as per Annexure-I & II attached herewith by June 30, 2013.Details are also available in the web-site of the Exchange. Members participating in C-Star, CSE- BSE and CSE-NSE arrangement may submit single Internal Audit Report combined across different trading platforms.
Please find enclosed herewith format of Internal Audit certificate as Annexure I, format of Internal Audit Report and revised guidelines as Annexure II and list of Indicative Processes and reference of Exchange/SEBI circulars as Annexure III.
The quality of 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 DGM (SEO) / Manager (Surveillance)/Assistant Manager (Surveillance) of the Exchange.