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Relaxation in timelines for compliance with regulatory requirements - SEBI - SEBI/HO/MIRSD/DOP/CIR/P/2020/141

Extract

..... pandemic, lockdown imposed by the Government and representations received from Stock Exchanges, SEBI had earlier provided relaxations in timelines for compliance with various regulatory requirements by the trading members / clearing members / depository participants, vide circular nos. SEBI/HO/MIRSD/DOP/CIR/P/2020/61 dated April 16, 2020, SEBI/HO/MIRSD/DOP/CIR/P/2020/62 dated April 16, 2020, and SEBI/HO/MIRSD/DOP/CIR/P/2020/68 dated April 21, 2020. Later, vide circular nos. SEBI/HO/MIRSD/DOP/CI .....

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Relaxation in timelines for compliance with regulatory requirements - SEBI

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..... half year ended (HYE) on March 31, 2020. III Risk based supervision for the year ended March 31, 2020. IV Internal Audit Report for HYE March 31, 2020. V System Audit Report (Algo) for HYE March 31, 2020. VI Annual System Audit Report for the year ended March 31, 2020. VII Net worth certificate in Margin Trading for CM Segment for HYE March 31, 2020. VIII Net worth certificate for all members for HYE March 31, 2020. IX Maintaining call recordings of orders/instructions received from clients. XI .....

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Relaxation in timelines for compliance with regulatory requirements - SEBI

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..... ths from the due date. Issue of Annual Global Statement to clients. V New relaxation (not included in above SEBI circulars) Cyber Security & Cyber Resilience Audit for the year ended March 31, 2020. - Till September 30, 2020. 3. All other conditions specified in the aforementioned circulars shall continue to remain applicable. 4. Stock Exchanges, Clearing Corporations and Depositories are directed to bring the provisions of this circular to the notice of their members / participants and also .....

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Relaxation in timelines for compliance with regulatory requirements - SEBI

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