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Periodical Submission

Client Fund Monitoring (Weekly submission)

In accordance with the Exchange circular NCDEX/COMPLIANCE-016/2016/239 dated September 27, 2016 members are required to submit data related to client fund monitoring. The required data is to be submitted within 3 trading days from the last trading day of the previous week. Kindly refer to the Exchange circulars in regard issued from time to time.

The Link for submission of data is as follows: NCFE Website

Client Funds and Securities Balance (Monthly submission)

In accordance with the Exchange circular NCDEX/COMPLIANCE-016/2016/239 dated September 27, 2016 members are required to submit details of client funds and securities balance. The required data is to be submitted within 7 calendar days from the last trading day of the previous month. Kindly refer to the Exchange circulars in regard issued from time to time.

The Link for submission of data is as follows: NCFE Website

Risk Based Supervision

As per the SEBI directives, members are required to submit information / data related to Risk Based Supervision within the given timelines:

  •  For half year ending September 30th on or before November 30th.
  •  For year ending March 31st on or before May 31st.

Kindly refer to the Exchange circulars in regard issued from time to time.

The Link for submission of data is as follows: NCFE Website

Internal Audit Report

In accordance with the Exchange circular NCDEX/COMPLIANCE-016/2016/239 dated September 27, 2016, Members are required to conduct half yearly Internal Audit through independent auditors appointed by them and submit the reports to the Exchange within the given timelines:

  •  For half year ending September 30th on or before November 30th
  •  For half year ending March 31st on or before May 31st.

Kindly refer to Exchange circulars in regard issued from time to time.

System Audit Report

In accordance with the Exchange circular NCDEX/COMPLIANCE-010/2016/191 dated August 16, 2016, the members using trading software shall be required to carry out System audit of their trading facility as per applicability criteria and submit system audit report to the Exchange with in the timeline. Kindly refer to Exchange circulars in regard issued from time to time.

Annual Return

In terms of Regulation 7.2.3 of Regulations of the Exchange, members are required to submit the Annual Return for the every financial year. Kindly refer to Exchange circulars in regard of this from time to time.

Note : Online submission of AR is mandatory. (Click here to submit online.)

Half Yearly Net Worth Certificate

In terms of point no 6.1.1. of the Exchange circular no. NCDEX/COMPLIANCE-016/2016/239 dated September 27, 2016, members are required to submit the net worth certificate for the half year ended September 30 and March 31 within given timelines:

         For half year ending September 30th on or before November 30th.

         For year ending March 31st on or before May 31st.

Kindly refer to Exchange circulars in this regard,  from time to time.

Note : Online submission of Half yearly net worth is mandatory