Dated: 8th December 2014
Sub: Submission of Internal Audit Report for the half year ended 30th September 2014 on or before 31st December 2014
Attention to all 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 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, 2014 along Annexure I, Annexure II and management comments on or before 31st December, 2014.
Members participating in C-Star, CSE- BSE on or before arrangement and CSE-NSE arrangement may submit single Internal Audit Report across different trading segments.
The format for Internal Audit certificate in Annexure I and the revised format for Internal Audit Report in Annexure II are available in the CSE website at www.cse-india.com.
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 Manager (Surveillance)/Assistant Manager (Surveillance) of the Exchange.