- Page 1 and 2: NATIONAL SECURITIES DEPOSITORY LIMI
- Page 3 and 4: DISCLAIMERThis Manual provides info
- Page 5 and 6: CIRCULARS INDEXSubject Date(s) Page
- Page 7 and 8: Subject Date(s) Page No.INSTRUCTION
- Page 9: Subject Date(s) Page No.September 2
- Page 13 and 14: Subject Date(s) Page No.November 14
- Page 15 and 16: Low End DPM System - Recommended ha
- Page 17 and 18: General ManagerMarket Intermediarie
- Page 19 and 20: Name and Address of NomineeName: ..
- Page 21 and 22: (II) Guidelines in respect of accou
- Page 23 and 24: (a) Proof of Identity (POI):I. Pass
- Page 25 and 26: documents which can be accepted as
- Page 27 and 28: are not immovable property. Section
- Page 29 and 30: S. No. ProcedureReference Remark(ix
- Page 31 and 32: (b) If the NRI has never purchased
- Page 33 and 34: appropriate option as given below:(
- Page 35 and 36: (iii) Client should visit the Parti
- Page 37 and 38: Participants should open the deposi
- Page 39 and 40: (c) Participant should collect Proo
- Page 41 and 42: (B)Trust Act, 1950 or The Indian So
- Page 43 and 44: Participants for receiving securiti
- Page 45 and 46: (b)(c)(d)Following documents are re
- Page 47 and 48: Dear Sir,Sub: Shifting of Clearing
- Page 49 and 50: eg. : - In case of joint holdings i
- Page 51 and 52: 28 Body Corporate Central Governmen
- Page 53 and 54: Participants are advised to capture
- Page 55 and 56: Account opening - Bank account deta
- Page 57 and 58: Account opening Forms and New Featu
- Page 59 and 60: Address Line 4For more information,
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dematerialized mode. The procedure
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Council Resolutions / EU Common Pos
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Reason codeDescription1 Allotment o
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Dear Sirs,Sub: Mandatory requiremen
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egister the request and the checker
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convenience upto 15 days, by login
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3.3 to collect copies of PAN cards
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Sr. No Activities executed by the R
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(ii) Update the PAN field and enabl
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6. The Stock Exchanges are advised
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4.6. In case of HUF, Association of
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NSDL’s operating guidelines:(a)(b
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No further guidelines in this regar
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AnnexureGENERAL MANAGERMARKET REGUL
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5. The Depositories are advised to:
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c. Power of AttorneyAccount operati
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of the trade for online disseminati
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Annexure IIDP DP ID Client NSDL NSD
- Page 97 and 98:
NOTES[ 82 ]
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Facility for Cancellation of Pendin
- Page 101 and 102:
of account (enclosed) issued by you
- Page 103 and 104:
gram respectively. The purity grade
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(b) Participants are required to ex
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Circular No:Sub: Facility for cance
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Demat request - POA holdersCircular
- Page 111 and 112:
Demat request - due carepending cou
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instruction expeditiously. After th
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mode, to decrease the time period i
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NOTES[ 102 ]
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Rule 4.5.2Rule 6.1Rule 12.2.1Rule 1
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Participants can use either the old
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(d)In case any DIS is presented for
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Client, before uploading/executing
- Page 127 and 128:
Participants must take note of the
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5. The pre-printed serial number of
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(a) Participants shall accept instr
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(I) Issuance of DISThe procedure fo
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(g)balances existing in the CM Pool
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Instructions - GuidelinesCircular N
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Pool Account. In case of insufficie
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6. Participants must ensure through
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Instructions - Serial number valida
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into hardship. The process would al
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1. The tenure of contracts in SLB m
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Circular No :Sub : Operationalisati
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The salient features of the SLBS ar
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Margins and Collaterals All transac
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VaR Margin and ELM Margin:• VaR m
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hereinafter referred to as 'Partici
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Pay-out of securities/funds of reve
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orders in the SLBS, Participants ma
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2.2 Reverse Leg transactionsOnly th
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2.9 Custodial transactionsIn respec
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Annexure AFile formats for ‘Auto-
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N000001 CM_USER 4 28052010115649722
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(iv) Upon receipt of the request fr
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For more information / clarificatio
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Line Number Integer 5 14 MTransacti
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Internet Transaction Id Integer 15
- Page 179 and 180:
Transaction Flag Character 1 18 M I
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ISIN Character 12 190 MQuantity Dec
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Detail Record (934 CM pool to pool)
- Page 185 and 186:
Client Id Integer 8 178 MISIN Chara
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Change Orders for the Day (COD)Desc
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Annexure ASalient features of the f
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Order Status Character 2 46Rejectio
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Order Status integer 2 32 MInstruct
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Circular No :Sub: Facility of Inter
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CMs about the new file formats. Eve
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SPEED-eAdmission fee Rs. 2,00,000Pa
- Page 201 and 202:
In view of the above, Participants
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in our aforesaid circular will be a
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DPs who have subscribed to SPEED-e
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Auto Corporate Action for redemptio
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NOTES[ 194 ]
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Rule 12.6.2(i) Annexure 'OC' - Form
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12.6.3.3. A nomination, substitutio
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Rule 12.6.5a) Request for transmiss
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3. Obtain the PAN details of the no
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NOTES[ 204 ]
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Transaction Statements to clients t
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NOW THEREFORE in consideration of t
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Internet-based Demat Account Statem
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d) After successful entry of the ab
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d) After the account holder has suc
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E-token* based UserBO Only IDeAS NI
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days, in their depository accounts.
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Transaction Statement - Controls on
- Page 237 and 238:
Providing Statement of transaction
- Page 239 and 240:
4. The Participant informs such cli
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Debit of Mutual Fund Units“______
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ChargesNo charge is levied by NSDL
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the CSPs and other service provider
- Page 247 and 248:
The revised details of this facilit
- Page 249 and 250:
NOTES[ 234 ]
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Alteration in Memorandum of Associa
- Page 253 and 254:
Sr. No. Particulars Reference Deadl
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Mobile numberEmail Address of alter
- Page 257 and 258:
Sr.No.Particulars Reference Deadlin
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(e) Prevention of Money Laundering
- Page 261 and 262:
Notes:1. Details of item mentioned
- Page 263 and 264:
1. Objectives of auditFollowing are
- Page 265 and 266:
ChecklistSrl.No.Audit AreasAuditor'
- Page 267 and 268:
Srl.No.Audit Areas4.1.4 Whether iss
- Page 269 and 270:
Srl.No.Audit AreasAuditor'sObservat
- Page 271 and 272:
Srl.No.Audit AreasAuditor'sObservat
- Page 273 and 274:
Srl.No.Audit AreasAuditor'sObservat
- Page 275 and 276:
Annexure 1A. Objectives of internal
- Page 277 and 278:
) Circular No. NSDL/POLICY/2007/001
- Page 279 and 280:
k) Circular No. NSDL/POLICY/2008/00
- Page 281 and 282:
e) Circular No. NSDL/PI/2004/1514 d
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ecorded in the report. (Circular No
- Page 285 and 286:
0021 dated June 24, 2006 regarding
- Page 287 and 288:
Circular No.NSDL/PI/2000/515Date :
- Page 289 and 290:
Nature of No of No of No of Manner
- Page 291 and 292:
Circular No. With reference to our
- Page 293 and 294:
NOTES[ 278 ]
- Page 295 and 296:
Dear Sir / Madam,Sub: Disclosure of
- Page 297 and 298:
Report 1B: Redressal of Complaints
- Page 299 and 300:
Report 2A: Details of Arbitration P
- Page 301 and 302:
Report 3A: Penal Actions against De
- Page 303 and 304:
Report 4A: Redressal of Complaints
- Page 305 and 306:
TypeType II aI bI cI dI eType IIII
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make the Indian securities market a
- Page 309 and 310:
Nature of No of No of No of Manner
- Page 311 and 312:
Nature of No of No of No of Manner
- Page 313 and 314:
NOTES[ 298 ]
- Page 315 and 316:
AnnexureCHIEF GENERAL MANAGERMARKET
- Page 317 and 318:
Circular No.NSDL/PI/99/637Date: Aug
- Page 319 and 320:
Sr.No.Annexure BParticulars Referen
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6) DPs are also advised to note tha
- Page 323 and 324:
Manual ElectronicProcessingprocessi
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Participant or any other person pro
- Page 327 and 328:
NOTES[ 312 ]
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Rule 4.1.4The permission to use the
- Page 331 and 332:
instructions per client account) an
- Page 333 and 334:
Securities and Exchange Board of In
- Page 335 and 336:
Dear Sir,Sub : Reduction in charges
- Page 337 and 338:
3. All the Stock Exchanges are advi
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(II)Penalty in case of non complian
- Page 341 and 342:
Circular No.Sub : Addendum to circu
- Page 343 and 344:
Fees for Rematerialisation of Secur
- Page 345 and 346:
NOTES[ 330 ]
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pose a risk to the international fi
- Page 349 and 350:
the ML/FT risks posed by Pakistan a
- Page 351 and 352:
Circular No. Date of circular Subje
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espectively of the abovementioned t
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2. Back Ground:The PMLA came into e
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prevention of money laundering and
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providing full and complete informa
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c) Registered intermediaries shall
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(ii) all series of cash transaction
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g) Unusual transactions by CSCs and
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and STR to FIU-IND. The reports may
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of Transactions, the Procedure and
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identity and address, one recent ph
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an AML/CFT regime that meets intern
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institutions should remain aware th
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(iv)(v)Details of credit due to off
- Page 379 and 380:
Further, Participants are requested
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DPs are also requested to take note
- Page 383 and 384:
Further, FIU-IND has also advised t
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have been used as genuine or where
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NOTES[ 372 ]
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Format:Date of Reason for dialup Ty
- Page 391 and 392:
NOTES[ 376 ]
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Rule 16.1.2Rule 16.1.3c) Freezing o
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3. Further, it has been noticed tha
- Page 397 and 398:
NOTES[ 382 ]
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called the Depository Participant C
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the Participant should capture the
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which highlights various types of b
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In case of any further information/
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ANNEXURE -IMPLS TARIFFNo Bandwidth
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While NSDL will continue to provide
- Page 411 and 412:
and at 4.30 pm instead of 4.00 pm o
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Quantity Decimal 18 72 M 15+3 witho
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Transaction Statement ExportFile Fo
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Counter CM-BP Id Character 8 174 O
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157 Lend Initiation161 SLB Confirma
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Original Order Integer 7 66 O Used
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Annexure BRejection reason code and
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(iii) Save the notepad in the SOT/S
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structure. Similar warning message
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2) Addition of new sub-type named
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PAN structure in Client account. Ho
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an account transfer instruction. Th
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e) When the instruction is captured
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• Certified true copy of Board Re
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irrespective of the source and anot
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Detailed Description:General1. The
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In the Version 8.0, a utility will
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instruction (Maker) and the one who
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5. "Cancellation" rights would be a
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File Generation Date and Time : Fil
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5. Creation(N)/ Character 30 "N" :
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authorised signatory, which has bee
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e set to 3. Whereas DP would be abl
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3 No. of Minimum Number of 2 New va
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Functional Rights Admin UserGISMO F
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Important Note:Depository Participa
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1. Import PAN and PAN flag in the r
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instaed of nominee has been chosen
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in the row 4 of the bank address de
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3. Incorrect Pin codes in bank addr
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for Clients accounts with statii
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In regard to point nos. 4,5,6 and 7
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• The systems person must take ba
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• Thus communication process shou
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Sr. Name of files What to check Whe
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Thus, the instructions which are ve
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absence of ADMIN User, his/her duti
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c) uninstall the existing Microsoft
- Page 487 and 488:
FAQs for backupCircular No.NSDL/PI/
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6. In case the system flashes a mes
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• Restore all the transaction log
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Circular No.Attention of Participan
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Scan Engine:A virus scan engine is
- Page 497 and 498:
overnight if new Virus of serious n
- Page 499 and 500:
Single Processor8 Online Users are
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Participants are free to choose the
- Page 503 and 504:
Description Hardware SoftwareEntry
- Page 505 and 506:
Description Hardware SoftwareMinimu
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Circular No.NSDL/PI/2000/032Date: J
- Page 509 and 510:
Sr. CPU RAM No. of No. of No. of No
- Page 511 and 512:
(2) The hardware configuration for
- Page 513 and 514:
• In case the upgradation of your
- Page 515 and 516:
NOTES[ 500 ]
- Page 517 and 518:
iv. Debenture Trusteesv. Bankers to
- Page 519 and 520:
Letter of Representation for Deposi
- Page 521 and 522:
NOTES[ 506 ]
- Page 523 and 524:
11 Amendments to Business Rules - N
- Page 525 and 526:
ANNEXURE BParticipant’s Name, Add
- Page 527:
NOTES[ 512 ]