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