Sr. No. Requirement Last date of submission References Applicability
1 Annual Accounts (as on 31st March) 30th September SEBI Circular No: SMD/SED/0072/92 dated December 31, 1992
2 Half yearly net worth (as on 31st March) 30th September SEBI (Stock Broker and Sub broker) Regulations, 1992 To all registered members of the Exchange irrespective whether they are trading/ not trading
i. Half yearly net worth (as on 30th September) 31st December SEBI (Stock Broker and Sub broker) Regulations, 1992 To all registered members of the Exchange irrespective whether they are trading/ not trading
3 Proof of Indemnity Insurance
  • At the time of activation of membership
  • within 30 days of the expiry of insurance cover
SEBI vide Circular no. SMD/SED/RCG/270/96 dated January 19, 1996 To all members who are trading / active on the exchange trading platform
4 Internal Audit Report for half year ended March 31st 30th June SEBI Circular no. SEBI/MIRSD/Master Cir-04/2010 dated March 17, 2010 To all the members who have either traded/ cleared a single trade irrespective of trades done on PRO/Client accounts during the respective half year
5 Internal Audit Report for half year ended September 30th 31st December Exchange circular no. MSEI/INSP/IAR-15-16(1)/4615/2016 dated October 18, 2016 To all the members who have either traded/ cleared a single trade irrespective of trades done on PRO/Client accounts during the respective half year
6 System Audit Report (for the period 1st April to 31st March) 30th June Exchange circular no. MSEI/INSP/4092/2016 dated April 28, 2016 To all members who have availed facilities such as CTCL/ IBT/ DMA/ SOR/Algo etc.
7 System Audit Report (for the period 1st April to 30th September) 30th November Exchange circular no. MSEI/INSP/4585/2016 dated October 6, 2016 To all members who have done Algo trading.
8 Quarterly Compliance Certificate Quarterly basis – within one month from end of calendar quarter Exchange Circular No MCX-SX/INSP/1028/2013 dated February 20, 2013 To all the members who have traded a single trade irrespective of trades done on PRO/Client accounts during the respective Quarter
9 Submission of details of client funding done during month 15th of the subsequent month Exchange Circular No MCX-SX/INSP/1067/2013 Dated March 18, 2013 To all members who have traded in the relevant month in Cash Segment only