Scribd
Upload
56 views1 page

Cirrec 28July09Annex

The document outlines a compliance schedule for various reports and certificates that must be submitted to NSDL by certain deadlines each year or half-year. It lists 8 items including an investor grievance report, compliance certificates, internal audit reports, and details of service centres that must be provided at different times of the year.

Uploaded by

Balraj Padmashali
Copyright
© Attribution Non-Commercial (BY-NC)
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd
56 views1 page

Cirrec 28July09Annex

The document outlines a compliance schedule for various reports and certificates that must be submitted to NSDL by certain deadlines each year or half-year. It lists 8 items including an investor grievance report, compliance certificates, internal audit reports, and details of service centres that must be provided at different times of the year.

Uploaded by

Balraj Padmashali
Copyright
© Attribution Non-Commercial (BY-NC)
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd
You are on page 1/ 1

Compliance Schedule

Annexure Sr. No. 1. Particulars Investor Grievance Report (Monthly) Reference (i)Circular No. NSDL/PI/98/500 dated October 6, 1998. (ii)Circular No. NSDL/PI/2004/1688 dated September 16, 2004. Deadline By 10th of the following month. Manner of sending By email at [email protected]. Alternatively, by hard copy to the Investor Relationship Cell. By hard copy to Business Partner Inspection Department. By email at [email protected]

2.

Compliance Certificate (July December) Charge Structure.

Circular No. NSDL/ POLICY/2006/0023 dated July 6, 2006. (i)Circular No. NSDL/POLICY/2006/0064 dated December 26, 2006. (ii)Circular No. NSDL/POLICY/2007/0003 dated January 8, 2007. Circular No. NSDL/ POLICY/2008/0077 dated November 3, 2008. Circular No. NSDL/ POLICY/2007/0055 dated September 25, 2007. Circular No. NSDL/ POLICY/2006/0023 dated July 6, 2006. Circular No. NSDL/PI/98/414 dated September 1, 1998.

January 31st every year. April 30th every year.

3.

4.

5.

Internal/ Concurrent Audit Report (October - March) Details of all service centres.

May 15th every year June 30th every year.

By hard copy to Business Partner Inspection Department. By email at servicecentreinfo@nsdl. co.in By hard copy to Business Partner Inspection Department. By hard copy to Participant Interface Department. By hard copy to Business Partner Inspection Department.

6.

7.

8.

Compliance Certificate (January - June) Networth Certificate and Audited Financial Statements. Internal/ Concurrent Audit Report (April September)

July 31st every year September 30th every year. November 15th every year

Circular No. NSDL/ POLICY/2008/0077 dated November 3, 2008.

NSDL: Towards a Secure Future

You might also like