Enhanced Supervision circular Submission of data towards Monitoring of client funds on Weekly basis from Existing Monthly basis from April,2018-

This has reference to the SEBI circular CIR/HO/MIRSD/MIRSD2/CIR/PB/2017/107 dated September 25, 2017 and Exchange circular NSE/INSP/35976 dated September 29, 2017 on Enhanced Supervision of Stock Brokers.

All Trading Members are requested to note that, w.e.f. April 2018 data towards monitoring of clients funds is required to be submitted on weekly basis. Members will have to submit the data as on last trading day of every week on or before the next three trading days. Accordingly, the first weekly submission shall be made for the week ended on April 06, 2018 by April 11, 2018.

Also note that actions for late/non-submission of the data shall be applicable as per Exchange circular NSE/INSP/36405 dated November 29, 2017.

All Members are advised to comply with the above and upload the data electronically every week within the due date through the Inspection module in the Member portal.


In case of any clarifications, Members may contact our below offices:

Ahmedabad 079-49008632 inspectionahm@nse.co.in
Chennai 044-28479915 / 17 inspection_cro@nse.co.in
Delhi 011-23459127 / 38 / 46 delhi_inspection@nse.co.in
Kolkata 033-40400411/ 06 inspection_ kolkata@nse.co.in
Mumbai 022-25045224/ 259/ 264 compliance_wro@nse.co.in
Help Desk 1800 2200 51- (2) Compliance_assistance@nse.co.in
Estelle Solution Private Limited ,59 Bentick street First Floor Kolkata 700069




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