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TMI BlogRelaxation in timelines for compliance with regulatory requirements by trading members / clearing membersX X X X Extracts X X X X X X X X Extracts X X X X ..... timelines for compliance with regulatory requirements by trading members / clearing members 1. In view of the situation arising due to COVID-19 pandemic and extended lockdown period, based on representations received from Stock Exchanges, it has been decided to extend the due date for the following regulatory filings and compliance requirements by their trading members / clearing members: S. No ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... IR/P/2016/138 dated December 20, 2016 on Enhanced Supervision of Stock Brokers (the due date for the submission of internal Audit report was made within two months from the end of half year) VI. System Audit Report (Algo). 30-Jun-20 31-Jul-20 CIR/MRD/DP/ 16 /2013 dated May 21, 2013. VII. System Audit Report. 30-Jun-20 31-Jul-20 CIR/MRD/DMS/ 34 /2013 dated November 6, 2013. VIII ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... X will be effective from their due date till the extended date as mentioned in the above table. Provision regarding imposition of penalty at S. No. X above was effective from April 01, 2020. The relaxation in this regard shall be till May 17, 2020. However, in terms of the said circular reporting of non-collection/short collection of margins in the cash segment shall continue. The relaxation in co ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... lar is issued in exercise of powers conferred under Section 11(1) of the Securities and Exchange Board of India Act, 1992, to protect the interests of investors in securities and to promote the development of, and to regulate the securities markets.
Yours faithfully
D Rajesh Kumar
General Manager
Market Intermediaries Regulation and Supervision Department X X X X Extracts X X X X X X X X Extracts X X X X
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