YOU ARE ON THE NEW NSE WEBSITE, ACCESS THE OLD WEBSITE ON THE URL www1.nseindia.com OR CLICK HERE
Accessibility
Feedback

Annexure B - Updated consolidated circular from october 01, 2017 to july 31, 2018


ITEM NO. SUBJECT
1.1 Account Opening Process
1.2 In-person verification IPV
1.3 Uploading KYC information with KYC Registration Agency KRA
1.4 Delivery of copy of duly completed Client registration forms
1.5 Allotment of two Trading Codes
1.6 Execution of Power of Attorney POA by clients in favor of stock broker / stock brokers
1.7 FAQs for NRIs on Trading Account
1.8 Guidelines on Identification of Beneficial Ownership
1.9 Client Registration Documents in vernacular language
1.10 Simplification of Account Opening Kit
1.11 Operationalization of Central KYC Records Registry CKYCR
1.12 Review of requirement of copy of PAN Card to open accounts of FPIs
1.13 Easing of access norms for investment by FPIs
1.14 Clarifications in respect of investment by certain Category II FPIs
ITEM NO. SUBJECT
2.1 Issue of contract notes
2.2 Electronic issuance of contract notes
2.3 Format of Contract Notes
2.4 Statement of Securities Transaction Tax STT
2.5 Issuance of Contract Notes through STP in the Equity Derivatives Segment
2.6 Clarification on Brokerage, Statutory Levies and Regulatory Levies & Charges
2.7 Compliance with fit & proper requirement by Members in case of trading in securities of listed Stock Exchanges
2.8 Compliance with fit & proper requirement by Members in case of trading in securities of listed Depositories
2.9 Revised format of Common Contract note after incorporating GST requirements
ITEM NO. SUBJECT
3.1 Margin Collection & Reporting Requirements
3.2 Daily Margin Statement
3.3 Collateral deposited by clients with members
3.4 Guidelines/clarifications on Margin collection & reporting
ITEM NO. SUBJECT
4.1 Mode of payment and delivery
4.2 Receipt of funds in the form of Pre-funded instruments / Electronic fund transfers
4.3 Running Account Authorization and Actual settlement for funds & securities on monthly / quarterly basis
4.4 FAQs on Actual Settlement of Funds and Securities
4.5 Statement of Accounts
4.6 Financing of securities transactions and transfer of securities & funds
4.7 Clarifications on funding in connection with / incidental to /consequential upon the securities business
4.8 Use of client funds & Securities
4.9 Pledging of client securities
4.10 E-mail and SMS alerts to Investors
4.11 Timelines for Closure of financial accounts under Rule 114H 8 of the income Tax rules, 1962 under alternative procedure of FATCA
4.12 Prevention of Unauthorised Trading by Stock Brokers
4.13 Issuance of Annual Global Statement
4.14 Discontinuation of acceptance of cash by Stock Brokers
4.15 Clarification on physically settled Equity Derivatives
ITEM NO. SUBJECT
5.1 Guidelines for location of CTCL terminals and usage thereof
5.2 Use of terminals, placing of notice boards
ITEM NO. SUBJECT
6.1 Dealings by branches, intermediaries, Sub Brokers, authorised persons etc
6.2 Inspection of Sub Brokers / branches
6.3 Notification under regulation 3 of the Securities and Exchange board of India Certification of Associated Persons in the Securities Markets Regulations, 2007
6.4 Transactions outside the trading system of the Exchange
6.5 Unauthenticated news  circulated  by   SEBI Registered Market Intermediaries through various modes of communication
6.6 Guidelines on Outsourcing of Activities by Intermediaries
6.7 Submission of Designated Director details to FIU-IND
6.8 Enhanced Supervision of Stock Brokers
6.9 Reporting of Bank & Demat Accounts
6.10 System for submission of data for monitoring of clients’ funds lying with the stock broker
6.11 Issuance of Audio/ Video Tutorial for Internal Audit Submission
ITEM NO. SUBJECT
7.1 Maintenance of books of accounts and other documents, Preservation of records
7.2 Maintenance of client wise, scrip wise Register of Securities
7.3 Format of Register of Securities
ITEM NO. SUBJECT
8.1 Compliance Calendar
8.2 Display of details by stock brokers including trading members
ITEM NO. SUBJECT
9.1 List of common violations and applicable penalties CM Segment, WDM, F&O segments and CD Segment
9.2 Revision in Charges/Penalty norms
9.3 Observations made during Inspections/Reported in Internal Audit Reports
9.4 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
Updated on: 05/02/2020 12:00
Quick Links