NSDL/POLICY/2014/0129 dated December 26, 2014 and Circular no. NSDL/POLICY/2007/0003 dated January 8, 2007. NSDL/POLICY/2018/0050 dated September 25, 2018 Internal/ Concurrent Audit Report (October - March) equity, equity derivatives, currency derivatives, debt and debt related derivatives and commodity derivaitve. Other relaxations pertain to client funding reporting, reporting for artificial intelligence and machine learning applications, risk based supervision … 2. Timeline for systems audit on annual basis for financial year ended March 31 has also been extended till September 30, as per the circular. The Market Intermediaries Regulation and Supervision Department is responsible for the registration, supervision, compliance monitoring and inspections of all market intermediaries in respect of all segments of the markets viz. Under the norms, processing of demat request forms by issuer or RTA needs to be done within 15 days, while the same for depository participants is within seven days. IV Internal Audit Report for half year ending Page 2 of 3 Compliance certificate for Margin Trading for CM Segment.
All Participants are hereby informed that SEBI has decided to adopt a supervision model based on risk levels in order to better regulate marketplace and strengthen the surveillance system. The Market Intermediaries Regulation and Supervision Department is responsible for the registration, supervision, compliance monitoring and inspections of all market intermediaries in respect of all segments of the markets viz. Circular No. The Department also handles the work related to action against the intermediaries for regulatory violations. $N�u7麵w��Y���-W�s����59�-�����y�w��]<4}��,.�g���/7�����"�0=[��>=�v?���_-��7�������n�m~~1_��c���Q���������x�sJ���"�j~x��ﲻÃWg�ӟp�q�Xvvyx �(�cUN�LE^fg����Ȯ���ٕ�*���Ã�l�{v������_v&�1�ab�a��EN��V�?mٛ�G�4������6�%?-���v .9iqI�2'����������\�>�c���pW���{��J�@�w~t"/C�-�@/��@���\6��{�� JD�Bl�%F0��PU�6�eQ1y��E�HvfF+�d�O�����u!�X����9���ef�˦���w@�������;���F���W㧙�.41��o$��ttZ��� �����:z)?��@�%5"DM��}b���֗H�htE��@u����E���7��IS�=�?��w�~�Q� ��%����B��1��D[e�ɔ�1��v���9���e�v�qv6�. Securities and Exchange Board of India is made for protect the interests of investors in securities and to promote the development of, and to regulate the securities market and for matters connected therewith or incidental thereto
Page 2 of 3 Compliance certificate for Margin Trading for CM Segment. For submission of cyber security and cyber resilience audit for the year ended March 31, 2020, Sebi has given time till September 30. x��io7�����(ш�p�( %���� NSDL/POLICY/2006/0064 dated December 26, 2006. 5Y Return. <> (���3\�e��9��z�3�"@��c�F���O���0 m�S��]�*��� ޚ^�W{0ԕQ�Dl���Q{(�~��9i=�(*iDv zjBX� �(q. 2 0 obj The period from March 23 till September 30 shall be excluded for computing the existing timelines for compliance, Further, a 15-day period after September 30 has been allowed to registered depository participants to clear the backlog. Other relaxations pertain to client funding reporting, reporting for artificial intelligence and machine learning applications, risk based supervision … Among others, due date for net worth certificate for members as well as net worth certificates in margin trading for half-year ending March 2020 have been extended till September 30. In addition, internal audit report, system audit report and compliance certificate for margin trading for CM segment for half-year ended March 31 can also be submitted till September 30. III Till July 31, 2020. Clarification on applicability of regulation 40(1) of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 to open offers, buybacks and delisting of securities of listed entities; Jul 29, 2020: Implementation of SEBI circular on Margin obligations to be given by way of Pledge / Re-pledge in the Depository System; Jul 29, 2020
For this, Sebi said period of exclusion will be from March 23, 2020 till September 30, 2020. endobj With a view to implement the recommendations, the guidelines as Annexed to this circular are being Circular Circular No. Under the norms, Sebi also gave an extension of five months from due date for updation in income tax permanent account number of key management personnel and directors, and for issuing annual global statement to clients.