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Date Circular No Department Subject English Hindi
23/Apr/2019 NCDEX/COMPLIANCE-018/2019 COMPLIANCE UNSC Consolidated list - As on April 03, 2019 -
15/Apr/2019 NCDEX/COMPLIANCE-017/2019 COMPLIANCE Market Access through Authorised Persons -
11/Apr/2019 NCDEX/COMPLIANCE-016/2019 COMPLIANCE Internal Audit of Members of the Exchange
01/Apr/2019 NCDEX/COMPLIANCE-015/2019 COMPLIANCE Risk Based Supervision - Submission of Information for the period - April 01, 2018 - March 31, 2019 -
29/Mar/2019 NCDEX/COMPLIANCE-014/2019 COMPLIANCE System Audit by the Members of the Exchange
14/Mar/2019 NCDEX/COMPLIANCE-013/2019 COMPLIANCE Reporting for Artificial Intelligence (AI) and Machine Learning (ML) applications and systems offered and used by market intermediaries
13/Mar/2019 NCDEX/COMPLIANCE-012/2019 COMPLIANCE SAT Order in the matter of trading in Mentha Oil Contracts at Multi Commodity Exchange of India -
01/Mar/2019 NCDEX/COMPLIANCE-011/2019 COMPLIANCE SEBI Order In the matter of trading in Mentha Oil Contracts at Multi Commodity Exchange of India -
28/Feb/2019 NCDEX/COMPLIANCE-010/2019 COMPLIANCE Order in respect of M/s. Phillip Commodities India Pvt. Ltd. (Formerly known as “MF Global SIFY Securities India Ltd.”) -
26/Feb/2019 NCDEX/COMPLIANCE-008/2019 COMPLIANCE Order in respect of M/s. Anand Rathi Commodities Limited -
26/Feb/2019 NCDEX/COMPLIANCE-009/2019 COMPLIANCE Order in respect of M/s. Geofin Comtrade Limited (formerly known as M/s. Geojit Comtrade Limited) -
25/Feb/2019 NCDEX/COMPLIANCE-007/2019 COMPLIANCE Order in respect of India Infoline Commodities Limited (now known as “IIFL Commodities Limited”) -
25/Feb/2019 NCDEX/COMPLIANCE-006/2019 COMPLIANCE Order in respect of Motilal Oswal Commodities Broker Private Limited (MOCBPL) -
18/Feb/2019 NCDEX/COMPLIANCE-005/2019 COMPLIANCE Advisory Committee at Market Infrastructure Institutions (MIIs) -
08/Feb/2019 NCDEX/COMPLIANCE-004/2019 COMPLIANCE Performance review of Public Interest Directors (PIDs) -
17/Jan/2019 NCDEX/COMPLIANCE-003/2019 COMPLIANCE Committees at Market Infrastructure Institutions (MIIs) -
15/Jan/2019 NCDEX/COMPLIANCE-002/2019 COMPLIANCE FATF - Public Statement -19 October 2018 and Risk Based Approach Guidance for the Securities Sector - 26 October 2018 -
07/Jan/2019 NCDEX/COMPLIANCE-001/2019 COMPLIANCE Reporting for Artificial Intelligence (AI) and Machine Learning (ML) applications and systems offered and used by market intermediaries -
29/Nov/2018 NCDEX/COMPLIANCE-022/2018 COMPLIANCE Interoperability among Clearing Corporations -
28/Nov/2018 NCDEX/COMPLIANCE-021/2018 COMPLIANCE Reminder – Submission of data pertaining to Risk Based Supervision and Internal Audit Report
16/Nov/2018 NCDEX/COMPLIANCE-020/2018 COMPLIANCE SEBI order in the matter of trading in castor seed contracts -
01/Nov/2018 NCDEX/COMPLIANCE-019/2018 COMPLIANCE Revision to Penalty Structure for Cash Dealing with Clients
11/Oct/2018 NCDEX/COMPLIANCE-018/2018 COMPLIANCE Internal Audit of Members of the Exchange
09/Oct/2018 NCDEX/COMPLIANCE-017/2018 COMPLIANCE System Audit by the members of the Exchange – ATS (ALGO Trading)
01/Oct/2018 NCDEX/COMPLIANCE-016/2018 COMPLIANCE Risk Based Supervision - Submission of information for the period - April 01, 2018 - September 30, 2018 -
24/Sep/2018 NCDEX/COMPLIANCE-015/2018 COMPLIANCE Transfer of clearing and settlement functions to National Commodity Clearing Ltd. with effect from September 27 2018 -
12/Jul/2018 NCDEX/COMPLIANCE-014/2018/170 COMPLIANCE Discontinuation of acceptance of cash by Stock Brokers -
05/Jul/2018 NCDEX/COMPLIANCE-013/2018/168 COMPLIANCE Guidelines on Anti-Money Laundering (AML) Standards and Combating the Financing of Terrorism (CFT) /Obligations of Securities Market Intermediaries under the Prevention of Money Laundering Act, 2002 and Rules framed there under (Master Circular) -
04/Jun/2018 NCDEX/COMPLIANCE-012/2018/141 COMPLIANCE Master Circular for Stock Brokers -
25/May/2018 NCDEX/COMPLIANCE-011/2018/125 COMPLIANCE Reminder – Submission of data pertaining to Risk Based Supervision and Internal Audit Report -
25/Apr/2018 NCDEX/COMPLIANCE-010/2018/103 COMPLIANCE Internal Audit of Trading Members/Clearing Members -
02/Apr/2018 NCDEX/COMPLIANCE-009/2018/087 COMPLIANCE Clarification on Enhanced Supervision of Stock Brokers / Depository Participants -
27/Mar/2018 NCDEX/COMPLIANCE-008/2018/076 COMPLIANCE System Audit by the members of the Exchange -
23/Mar/2018 NCDEX/COMPLIANCE-007/2018/073 COMPLIANCE Prevention of Unauthorized Trading by Stock Brokers -
22/Mar/2018 NCDEX/COMPLIANCE-006/2018/070 COMPLIANCE Risk Based Supervision- Submission of information for the period - April 01, 2017- March 31, 2018 -
14/Mar/2018 NCDEX/COMPLIANCE-005/2018/063 COMPLIANCE Compliance with provisions of SEBI Circular no. SEBl/HO/CDMRD/DMP/CIR/P/2016/103 dated September 27, 2016 -
12/Mar/2018 NCDEX/COMPLIANCE-004/2018/062 COMPLIANCE Outsourcing of activities by Stock Exchanges and Clearing Corporations -
26/Feb/2018 NCDEX/COMPLIANCE-003/2018/046 COMPLIANCE Contract Note for Options Devolvement
16/Jan/2018 NCDEX/COMPLIANCE-002/2018/020 COMPLIANCE Prevention of Unauthorized Trading by Stock Brokers
05/Jan/2018 NCDEX/COMPLIANCE-001/2018/007 COMPLIANCE Modification in file format for uploading clients funds, securities and commodities balances under Enhanced Supervision provisions -
29/Dec/2017 NCDEX/COMPLIANCE-024/2017/365 COMPLIANCE Issuance of Annual Global Statement by stock brokers to their clients -
01/Dec/2017 NCDEX/COMPLIANCE-023/2017/330 COMPLIANCE Clarification to Circular on Prevention of Unauthorized Trading by Stock Brokers
30/Nov/2017 NCDEX/COMPLIANCE-22/2017/326 COMPLIANCE Modification to Enhanced Supervision of Stock Brokers/Depository Participants
17/Nov/2017 NCDEX/COMPLIANCE-021/2017/302 COMPLIANCE Anti - Money laundering Guidelines -
31/Oct/2017 NCDEX/COMPLIANCE-020/2017/285 COMPLIANCE Revised penalty structure -
27/Oct/2017 NCDEX/COMPLIANCE-019/2017/281 COMPLIANCE Online Submission of Applications for Authorised Person(s) -
24/Oct/2017 NCDEX/COMPLIANCE-018/2017/277 COMPLIANCE Internal Audit of Trading Members/Clearing Members -
10/Oct/2017 NCDEX/COMPLIANCE-017/2017/266 COMPLIANCE Client Registration Documents for Options on Commodity Futures -
29/Sep/2017 NCDEX/COMPLIANCE-016/2017/254 COMPLIANCE System Audit by members of the Exchange - ATS (ALGO Trading) -
27/Sep/2017 NCDEX/COMPLIANCE-015/2017/244 COMPLIANCE Prevention of Unauthorized Trading by Stock Brokers -
25/Sep/2017 NCDEX/COMPLIANCE-014/2017/241 COMPLIANCE Clarification on Enhanced Supervision of Stock Brokers/Depository Participants -
30/Aug/2017 NCDEX/COMPLIANCE-013/2017/214 COMPLIANCE Press release issued by Telecom Regulatory Authority of India: Directions to the service providers regarding unsolicited bulk SMSs relating to investment in securities market -
28/Jul/2017 NCDEX/COMPLIANCE-012/2017/189 COMPLIANCE FATF Public Statement - 23 June 2017 -
26/Jul/2017 NCDEX/COMPLIANCE-011/2017/182 COMPLIANCE Enhanced Supervision of Stock Brokers/Depository Participants
04/Jul/2017 NCDEX/COMPLIANCE-010/2017/167 COMPLIANCE Clarification on Enhanced Supervision of Stock Brokers/Depository Participants -
23/Jun/2017 NCDEX/COMPLIANCE-009/2017/156 COMPLIANCE Clarification on Enhanced Supervision of Stock Brokers/Depository Participants
19/Jun/2017 NCDEX/COMPLIANCE-008/2017/147 COMPLIANCE Comprehensive guidelines for Investor Protection Fund, Investor Service Fund and its related matters at National Commodity Derivatives Exchanges
13/Jun/2017 NCDEX/COMPLIANCE-007/2017/141 COMPLIANCE Annual Compliance Report for FY 2016-17 - Reminder -
09/Jun/2017 NCDEX/COMPLIANCE-006/2017/136 COMPLIANCE Contract Note Format Revised – Inclusion of GST provisions -
26/May/2017 NCDEX/COMPLIANCE-005/2017/119 COMPLIANCE System Audit by members of the Exchange - Reminder -
15/May/2017 NCDEX/COMPLIANCE-004/2017/113 COMPLIANCE Annual Compliance Report for FY 2016-17 -
09/Mar/2017 NCDEX/COMPLIANCE-003/2017/053 COMPLIANCE SEBI order in the matter of trading in castor seed contracts -
15/Feb/2017 NCDEX/COMPLIANCE-002/2017/037 COMPLIANCE Market Access through Authorised Persons -
27/Jan/2017 NCDEX/COMPLIANCE-001/2017/022 COMPLIANCE FATF Public Statement - 21 October 2016 -
26/Dec/2016 NCDEX/COMPLIANCE-025/2016/345 COMPLIANCE SEBI order in the matter of trading in castor seed contracts -
22/Dec/2016 NCDEX/COMPLIANCE-024/2016/342 COMPLIANCE Enhanced Supervision of Stock Brokers/Depository Participants -
09/Nov/2016 NCDEX/COMPLIANCE-023/2016/300 COMPLIANCE Games/Leagues/Schemes/Competitions launched by Registered Stock Brokers Code of Advertisements for Stock Broker -
28/Oct/2016 NCDEX/COMPLIANCE-022/2016/286 COMPLIANCE Vigilance Awareness Week from October 31 2016 to November 05 2016 -
05/Oct/2016 NCDEX/COMPLIANCE-021/2016/270 COMPLIANCE System Audit by the members of the Exchange -
28/Sep/2016 NCDEX/COMPLIANCE-020/2016/256 COMPLIANCE List of Commodities Notified under SCRA -
28/Sep/2016 NCDEX/COMPLIANCE-019/2016/243 COMPLIANCE Sharing of Information in case of Declaration of Member as Defaulter in case of Multiple Membership -
28/Sep/2016 NCDEX/COMPLIANCE-018/2016/242 COMPLIANCE Portfolio Management Services (PMS) in Commodity Derivatives Market -
28/Sep/2016 NCDEX/COMPLIANCE-017/2016/241 COMPLIANCE Disclosure by Commodity Derivative Exchanges on their Websites -
27/Sep/2016 NCDEX/COMPLIANCE-016/2016/239 COMPLIANCE Enhanced Supervision of Stock Brokers/Depository Participants -
27/Sep/2016 NCDEX/COMPLIANCE-015/2016/238 COMPLIANCE Regulatory framework for commodity derivatives brokers -
23/Sep/2016 NCDEX/COMPLIANCE-014/2016/233 COMPLIANCE Declaration of Defaulter – M/s. Dreams Comtrade Pvt. Ltd. – List of Authorised persons -
21/Sep/2016 NCDEX/COMPLIANCE-013/2016/227 COMPLIANCE Declaration of Defaulter – M/s. Dreams Comtrade Pvt. Ltd. -
15/Sep/2016 NCDEX/COMPLIANCE-012/2016/216 COMPLIANCE Games/Leagues/Schemes/Competitions launched by the third parties/ online gaming companies -
01/Sep/2016 NCDEX/COMPLIANCE-011/2016/205 COMPLIANCE Maintenance and Preservation of Records -
16/Aug/2016 NCDEX/COMPLIANCE-010/2016/191 COMPLIANCE System Audit by the members of the Exchange -
04/Aug/2016 NCDEX/COMPLIANCE-009/2016/184 COMPLIANCE System Audit by the members of the Exchange -
24/Jun/2016 NCDEX/COMPLIANCE-008/2016/146 COMPLIANCE Declaration of Defaulter – M/s. Click2Trade Commodities Ltd.
20/Jun/2016 NCDEX/COMPLIANCE-007/2016/140 COMPLIANCE Illegal Trading -
16/Jun/2016 NCDEX/COMPLIANCE-006/2016/137 COMPLIANCE Annual Compliance Report for FY 2015-16 – Reminder -
20/May/2016 NCDEX/COMPLIANCE-005/2016/115 COMPLIANCE Annual Compliance Report for FY 2015-16 -
08/Apr/2016 NCDEX/COMPLIANCE-004/2016/074 COMPLIANCE FAQs on KYC Requirements - Clarification on voluntary adaptation of Aadhaar based e-KYC process -
31/Mar/2016 NCDEXCOMPLIANCE-003/2016/065 COMPLIANCE Expulsion of M/s. Orion Broking Services India Private Limited from the membership of the Exchange -
03/Mar/2016 NCDEX/COMPLIANCE-002/2016/038 COMPLIANCE Timelines for Compliance with various provisions of Securities Laws by Commodity Derivatives Exchanges
02/Mar/2016 NCDEX/COMPLIANCE-001/2016/037 COMPLIANCE SEBI order in the matter of trading in castor seed contracts -
05/Nov/2015 NCDEX/COMPLIANCE-007/2015/348 COMPLIANCE Allotment of Code -
16/Sep/2015 NCDEX/COMPLIANCE-006/2015/298 COMPLIANCE Expulsion of M/s. Royal International Commodity & Derivatives Pvt. Ltd. from the membership of the Exchange -
04/Aug/2015 NCDEX/COMPLIANCE-005/2015/265 COMPLIANCE Annual Compliance Report for FY 2014-15 – Reminder -
13/Jul/2015 NCDEX/COMPLIANCE-004/2015/244 COMPLIANCE Annual Compliance Report for FY 2014-15
25/Mar/2015 NCDEX/COMPLIANCE-003/2015/102 COMPLIANCE Declaration of Defaulter – M/s. Blue Chip Commodities Broking Pvt Ltd -
13/Feb/2015 NCDEX/COMPLIANCE-002/2015/048 COMPLIANCE Declaration of Defaulter – M/s. Omji Commotrade Pvt. Ltd. -
10/Feb/2015 NCDEX/COMPLIANCE-001/2015/044 COMPLIANCE Prevention of Money Laundering (Amendment) Act, 2012 (PMLA) – Master Circular -
31/Dec/2014 NCDEX/COMPLIANCE-017/2014/422 COMPLIANCE Prevention of Money Laundering (Amendment) Act 2012 (PMLA) – Registration with the FINNET Gateway -
22/Oct/2014 NCDEX/COMPLIANCE-016/2014/333 COMPLIANCE Periodic Settlement of account of client by Member
09/Oct/2014 NCDEX/COMPLIANCE-015/2014/308 COMPLIANCE Defaulting entities in National Spot Exchange Limited (NSEL)
23/Sep/2014 NCDEX/COMPLIANCE-014/2014/285 COMPLIANCE Withdrawal of approval of Authorised Person
19/Sep/2014 NCDEX/COMPLIANCE-013/2014/281 COMPLIANCE Expulsion of M/s. M. P. Bullion from the membership of the Exchange
19/Sep/2014 NCDEX/COMPLIANCE-012/2014/280 COMPLIANCE Declaration of Defaulter
15/Sep/2014 NCDEX/COMPLIANCE-011/2014/274 COMPLIANCE Prevention of Money Laundering (Amendment) Act, 2012 (PMLA) – Registration with the FINNET Gateway
05/Sep/2014 NCDEX/COMPLIANCE-010/2014/270 COMPLIANCE Sharing of information about Defaulter/Suspended/Expelled Members
23/Jun/2014 NCDEX/COMPLIANCE-009/2014/195 COMPLIANCE Annual Compliance Report for FY 2013-14 - Reminder
30/May/2014 NCDEX/COMPLIANCE-008/2014/173 COMPLIANCE Annual Compliance Report for FY 2013-14
15/May/2014 NCDEX/COMPLIANCE-007/2014/160 COMPLIANCE Charging of fees to conduct audit of the members
06/May/2014 NCDEX/COMPLIANCE-006/2014/148 COMPLIANCE Prevention of Money Laundering (Amendment) Act, 2012-Registration with the FINNET Gateway
30/Apr/2014 NCDEX/COMPLIANCE-005/2014/142 COMPLIANCE Mechanism for regular monitoring of short-collection/non-collection of margins
02/Apr/2014 NCDEX/COMPLIANCE-004/2014/098 COMPLIANCE Prevention of Money Laundering (Amendment) Act, 2012
28/Mar/2014 NCDEX/COMPLIANCE-003/2014/083 COMPLIANCE Mechanism for regular monitoring of short-collection non-collection of margins
18/Mar/2014 NCDEX/COMPLIANCE-002/2014/066 COMPLIANCE Dealing in cash transactions
03/Mar/2014 NCDEX/COMPLIANCE-001/2014/055 COMPLIANCE Central KYC registry and Directions on Prevention of Money Laundering (Maintenance of Records) Rules 2013
21/Nov/2013 NCDEX/COMPLIANCE-015/2013/353 COMPLIANCE Declaration of Defaulters
07/Nov/2013 NCDEX/COMPLIANCE-014/2013/338 COMPLIANCE Defaulting Entities in National Spot Exchange Limited (NSEL)
19/Oct/2013 NCDEX/COMPLIANCE-013/2013/319 COMPLIANCE Annual Compliance Report for FY 2012-13 - Reminder
14/Oct/2013 NCDEX/COMPLIANCE-012/2013/313 COMPLIANCE Direction to the Members of the Exchange not to indulge in Portfolio Management Services (PMS)
27/Sep/2013 NCDEX/COMPLIANCE-011/2013/297 COMPLIANCE Annual Compliance Report for FY 2012-13
27/Aug/2013 NCDEX/COMPLIANCE-010/2013/266 COMPLIANCE Common / uniform client registration form / process - Aadhaar Card
23/Aug/2013 NCDEX/COMPLIANCE-009/2013/259 COMPLIANCE Prevention of Money Laundering (Amendment) Bill 2011
27/Jun/2013 NCDEX/COMPLIANCE-008/2013/214 COMPLIANCE Quarterly Settlement of account of client by Member
25/Jun/2013 NCDEX/COMPLIANCE-007/2013/211 COMPLIANCE SMS and Email alerts to clients by the Exchange
01/Jun/2013 NCDEX/COMPLIANCE-006/2013/187 COMPLIANCE Declaration of Defaulters
30/May/2013 NCDEX/COMPLIANCE-005/2013/184 COMPLIANCE Declaration of defaulters
28/May/2013 NCDEX/COMPLIANCE-004/2013/181 COMPLIANCE Quarterly Settlement of account of client by Member
27/May/2013 NCDEX/COMPLIANCE-003/2013/178 COMPLIANCE SMS and Email alerts to clients by the Exchange
08/Mar/2013 NCDEX/COMPLIANCE-002/2013/067 COMPLIANCE SMS and E-mail alerts to clients by the Exchange - Penalty
11/Feb/2013 NCDEX/COMPLIANCE-001/2013/036 COMPLIANCE SMS and E-mail alerts to clients by the Exchange
28/Dec/2012 NCDEX/COMPLIANCE-010/2012/426 COMPLIANCE SMS and E-mail alerts to clients by the Exchange
21/Jul/2012 NCDEX/COMPLIANCE-009/2012/260 COMPLIANCE Authorised Persons – Processing fees
07/Jul/2012 NCDEX/COMPLIANCE-008/2012/244 COMPLIANCE Annual Compliance Report for FY 2011-12
19/Mar/2012 NCDEX/COMPLIANCE-007/2012/093 COMPLIANCE SMS and E-mail alerts to clients by the Exchange
14/Feb/2012 NCDEX/COMPLIANCE-006/2012/052 COMPLIANCE Market Access through Authorised Persons — Revised Regulatory Framework
14/Feb/2012 NCDEX/COMPLIANCE-005/2012/050 COMPLIANCE Quarterly Settlement of account of client by Member
02/Feb/2012 NCDEX/COMPLIANCE-004/2012/039 COMPLIANCE Regulatory Action by Forward Markets Commission
30/Jan/2012 NCDEX/COMPLIANCE-003/2012/031 COMPLIANCE Regulatory Action by Forward Markets Commission - Addendum
24/Jan/2012 NCDEX/COMPLIANCE-002/2012/028 COMPLIANCE Regulatory Action by Forward Markets Commission
02/Jan/2012 NCDEX/COMPLIANCE-001/2012/001 COMPLIANCE Collection of Margins from the Clients
13/Oct/2011 NCDEX/COMPLIANCE-011/2011/315 COMPLIANCE Segregation of client accounts in Commodity Futures Exchange
11/Oct/2011 NCDEX/COMPLIANCE-010/2011/313 COMPLIANCE UCC details of the Clients
07/Oct/2011 NCDEX/COMPLIANCE-009/2011/309 COMPLIANCE Guidelines on Pre-funded Instruments (Pay Orders and Demand Drafts)/ Electronic Fund Transfer
08/Aug/2011 NCDEX/COMPLIANCE-008/2011/246 COMPLIANCE Order of FMC against M/s. Rank Commodities Pvt. Ltd
26/Jul/2011 NCDEX/COMPLIANCE-007/2011/227 COMPLIANCE Expulsion of M/s Contact India Commodities Pvt. Ltd. from the membership of the Exchange
14/Jul/2011 NCDEX/COMPLIANCE-006/2011/215 COMPLIANCE Annual Compliance Report for FY 2010-11 - Reminder
27/Jun/2011 NCDEX/COMPLIANCE-005/2011/197 COMPLIANCE Annual Compliance Report for FY 2010-11
10/Jun/2011 NCDEX/COMPLIANCE-004/2011/180 COMPLIANCE Expulsion of M/s Bhavishya Advisory & Comtrade (India) Pvt. Ltd. from the membership of the Exchange
29/Apr/2011 NCDEX/COMPLIANCE-003/2011/126 COMPLIANCE Delivery of Contract Notes to clients
26/Apr/2011 NCDEX/COMPLIANCE-002/2011/118 COMPLIANCE BPO/KPO services - Segregation thereof from Commodity Derivatives Market
25/Feb/2011 NCDEX/COMPLIANCE-001/2011/053 COMPLIANCE Market Access through Authorised Persons
31/Dec/2010 NCDEX/COMPLIANCE-012/2010/337 COMPLIANCE Market Access through Authorised Persons – Extension of deadline for compliance -
30/Nov/2010 NCDEX/COMPLIANCE-011/2010/302 COMPLIANCE Market Access through Authorised Persons – Extension of deadline for compliance
13/Oct/2010 NCDEX/COMPLIANCE-010/2010/254 COMPLIANCE Market Access through Authorised Persons – Revocation of approval of Existing Authorised Persons, unless fresh approval is granted by the Exchange
07/Sep/2010 NCDEX/COMPLIANCE-009/2010/233 COMPLIANCE Guidelines for Anti Money Laundering and Know Your Customer(KYC)Norms – Clarifications
28/Aug/2010 NCDEX/COMPLIANCE-008/2010/223 COMPLIANCE Market Access through Authorised Persons
22/Jul/2010 NCDEX/COMPLIANCE-007/2010/195 COMPLIANCE Direction not to indulge in Portfolio Management Activities (PMS)
21/Jul/2010 NCDEX/COMPLIANCE-006/2010/193 COMPLIANCE Expulsion of M/s Pritam Vinay Commodity House (Sole Prop.: Shri Vinay Sagar Jain) from the exchange
17/Jul/2010 NCDEX/COMPLIANCE-005/2010/190 COMPLIANCE Annual Compliance Report for FY 2009-10 - Reminder
07/Jul/2010 NCDEX/COMPLIANCE-004/2010/181 COMPLIANCE Compliance by Members
10/Jun/2010 NCDEX/COMPLIANCE-003/2010/153 COMPLIANCE Annual Compliance Report for FY 2009-10
03/Jun/2010 NCDEX/COMPLIANCE-002/2010/146 COMPLIANCE Customer Complaints – Penalty for non submission/ delayed submission of information and supporting documents
01/Apr/2010 NCDEX/COMPLIANCE-001/2010/089 COMPLIANCE Uniform Penalties for violations by members – National Exchanges Other Common violations observed and penalties in respect thereof
25/Nov/2009 NCDEX/COMPLIANCE-006/2009/334 COMPLIANCE Guidelines for Anti Money Laundering and Know Your Customer (KYC) norms
05/Oct/2009 NCDEX/COMPLIANCE-005/2009/271 COMPLIANCE Dealing in cash – Non-Compliance Charges
01/Oct/2009 NCDEX/COMPLIANCE-004/2009/269 COMPLIANCE Customer Protection
18/Jun/2009 NCDEX/COMPLIANCE-003/2009/178 COMPLIANCE Dealing in cash – Non-Compliance Charges
21/Apr/2009 NCDEX/COMPLIANCE-002/2009/110 COMPLIANCE Annual Compliance Report for FY 2008-09
13/Feb/2009 NCDEX/COMPLIANCE-001/2009/045 COMPLIANCE Client Registration Form – Copy of Income Tax Return
23/Dec/2008 NCDEX/COMPLIANCE-003/2008/285 COMPLIANCE Direction to the Members of the Exchange not to indulge in Portfolio Management Activities (PMS)
17/Apr/2008 NCDEX/COMPLIANCE- 002/2008/093 COMPLIANCE Annual Compliance Report for FY 2007-08
15/Apr/2008 NCDEX/COMPLIANCE-001/2008/087 COMPLIANCE Debarring To Trade
18/Oct/2007 NCDEX/COMPLIANCE-004/2007/249 COMPLIANCE Timelines for Investor complaints
24/May/2007 NCDEX/COMPLIANCE- 003/2007/131 COMPLIANCE Annual Compliance Report for FY 2006-07
05/Apr/2007 NCDEX/COMPLIANCE- 002/2007/080 COMPLIANCE Client Awareness
08/Jan/2007 NCDEX/COMPLIANCE-001/2007/007 COMPLIANCE Open Interest Positions - Format for Client Declaration to Member
12/Dec/2006 NCDEX/COMPLIANCE-005/2006/336 COMPLIANCE Portfolio Management Activities - Clarification
08/Dec/2006 NCDEX/COMPLIANCE-004/2006/331 COMPLIANCE Portfolio Management Activities
05/Dec/2006 NCDEX/COMPLIANCE-003/2006/320 COMPLIANCE Regulatory Action by Forward Markets Commission
19/Sep/2006 NCDEX/COMPLIANCE-002/2006/238 COMPLIANCE Display of details at member’s office
10/Jun/2006 NCDEX/COMPLIANCE-001/2006/150 COMPLIANCE Annual Compliance Report for FY 2005-06
30/Jul/2005 NCDEX/COMPLIANCE-003/2005/162 COMPLIANCE Unique Client Codes - Penalties
01/Jun/2005 NCDEX/COMPLIANCE-002/2005/124 COMPLIANCE Annual Compliance Report for FY 2004-05
04/May/2005 NCDEX/Compliance-001/2005/103 Compliance List of violations observed in the member inspections and fines in respect thereof
11/Aug/2004 NCDEX/COMPLIANCE-002/2004/100 COMPLIANCE Compliance Check List
21/Apr/2004 NCDEX/COMPLIANCE-001/2004/044 COMPLIANCE Illegal Trading
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