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System Audit Compliances


As part of yearly compliance as mandated by SEBI, trading members who have obtained approval from Exchange for CTCL trading software (including all the applications that is CTCL, IBT, DMA, STWT and SOR) are required to submit to the Exchange the System Audit Report for the year ended March 31, every year, after getting the CTCL trading facility audited from CISA/CISSP/ISA/DISA certified auditor, independent of the empanelled vendors of the Exchange and/or Partners/Directors of the trading members. Members are required to submit the system audit report to the Exchange through NSE ENIT electronically.

As part of half yearly compliance as mandated by SEBI, trading members who have obtained approval from Exchange for Algorithmic trading software are required to submit the System Audit Report for the half year ended March 31 (i.e. for the period from October 01 to March 31) and September 30 (i.e. for the period April 01 to September 30), after getting the Algorithmic trading facility audited from Exchange empanelled system auditors (CISA certified). Members are required to submit the system audit report to the Exchange through NSE ENIT electronically.

For October 01 to March 31 – report to be submitted by April 30.

For April 01 to September 30 – report to be submitted by October 31.

Members providing IBT / STWT / SOR facility are required to provide Trade Statistics on IBT / STWT / SOR for Capital Market / Futures and Options / Currency Derivatives Segment..Trading members are required to upload this information on a weekly basis on NSE ENIT application.

Updated on: 02/01/2020 12:00
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