| Download No. |
Date |
Particulars |
| NSE/INSP/19654 |
December 26, 2011 |
Guidelines in pursuance of the SEBI KYC Registration Agency (KRA) Regulations, 2011 and for In-Person Verification (IPV) |
| NSE/INSP/19613 |
December 16, 2011 |
Reminder for submission of Internal Audit Report for the half year ended September 30, 2011 |
| NSE/INSP/19603 |
December 15, 2011 |
Guidelines on Outsourcing of Activities by Intermediaries |
| NSE/COMP/19598 |
December 15, 2011 |
Reminder for Submission of Half Yearly Networth Certificate |
| NSE/INSP/19583 |
December 14, 2011 |
Clarification on Margin collection and reporting |
| NSE/INSP/19511 |
December 06, 2011 |
The Securities and Exchange Board of India (KYC Registration Agency) Regulations, 2011 |
| NSE/INSP/19443 |
November 28, 2011 |
Submission of Internal Audit Report through ENIT. |
| NSE/INSP/19243 |
October 25, 2011 |
'In-person' verification (IPV) of clients by subsidiaries of stock exchanges, acting as stock brokers |
| NSE/INSP/19176 |
October 19, 2011 |
FAQs for Internal Audit |
| NSE/INSP/19173 |
October 19, 2011 |
Internal Audit of Trading members / Clearing members |
| NSE/COMP/19123 |
October 13, 2011 |
Reminder for Submission of Annual Returns for the year 2010-2011 |
| NSE/COMP/19120 |
October 13, 2011 |
Submission of Half Yearly Networth Certificate |
| NSE/INSP/19097 |
October 11, 2011 |
Observations made during Inspections/Reported in Internal Audit Reports |
| NSE/COMP/18881 |
September 15, 2011 |
Extension of time for Submission of Annual Returns for the Financial Year 2010-11 |
| NSE/INSP/18830 |
September 09, 2011 |
Clarification on Simplification and Rationalization of Trading Account Opening Process |
| NSE/INSP/18677 |
August 22, 2011 |
Simplification and Rationalization of Trading Account Opening Process |
| NSE/COMP/18438 |
July 25, 2011 |
Automation of the process of Advertisement Approval |
| NSE/COMP/18375 |
July 15, 2011 |
Reminder for submission of Mandatory Insurance Cover for the Period 2011-2012 |
| NSE/INSP/18175 |
June 24, 2011 |
Reminder for submission of Internal Audit Report for the half year ended March 31, 2011 |
| NSE/COMP/18114 |
June 21, 2011 |
Reminder for Reporting by Compliance Officers of stock brokers |
| NSE/INSP/18060 |
June 14, 2011 |
Reminder for submission of Internal Audit Report for the half year ended March 31, 2011 |
| NSE/INSP/18024 |
June 09, 2011 |
Pre-funded instruments / Electronic fund transfers |
| NSE/COMP/17983 |
June 06, 2011 |
Submission of Annual Returns for the year 2010-2011 |
| NSE/COMP/17962 |
June 03, 2011 |
Reporting by Compliance Officers of stock brokers |
| NSE/INSP/17781 |
May 13, 2011 |
Clarification on circular dated December 03 2009 on Dealings between a client and a stock broker |
| NSE/COMP/17739 |
May 10, 2011 |
Mandatory Insurance Cover for the Period 2011-2012 |
| NSE/INSP/17536 |
April 19, 2011 |
Internal Audit of Trading members / Clearing members |
| NSE/INSP/17356 |
March 28, 2011 |
Indicative list of penalties/actions to be initiated regarding audit observations in Internal Audit Reports to be submitted for the half year ending on 31st March 2011 and onwards |
| NSE/INSP/17338 |
March 24, 2011 |
Addendum to circular on Unauthenticated news circulated by SEBI Registered Market Intermediaries through various modes of communication |
| NSE/INSP/17326 |
March 23, 2011 |
Unauthenticated news circulated by SEBI Registered Market Intermediaries through various modes of communication |
| NSE/COMP/17268 |
March 17, 2011 |
Suspension of Membership |
| NSE/COMP/16943 |
February 07, 2011 |
Suspension of Membership |
| NSE/INSP/16781 |
January 14, 2011 |
Consolidated Circular - Inspection Department |
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