Jun 20, 2011 - Sub: Reminder for Reporting by Compliance Officers of stock brokers ... are required to provide 'Annual I
COMPLIANCE DEPARTMENT CIRCULAR Circular No: NSE/COMP/2011/64 Download No: NSE/COMP/18114
June 20, 2011
All Members, Sub: Reminder for Reporting by Compliance Officers of stock brokers This is further to SEBI letter no. MIRSD-2/AK/17273/2011 dated May 31, 2011 and our circular NSE/COMP/2011/62 (download reference no. NSE/INSP/17962) dated June 03, 2011 wherein the Compliance Officers of members having more than 10,000 active clients across segments for the financial year 2010-11 are required to provide ‘Annual Information Report’ to the Exchange covering the events mentioned in SEBI letter on or before June 24, 2011. Attention of members is once again drawn to the above mentioned circular, requiring members to submit Annual Information Report for the FY 2010-11 on or before June 24, 2011 in physical form in the prescribed format and comply with the regulatory requirements. For any clarifications, members may contact any of the following officials: Name Ms. Bhagyashri Lele Ms. Almira D’souza Ms. Sania Surve