NATIONAL SECURITIES DEPOSITORY LIMITED - NSDL

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Sr.No.Particulars Reference Deadline Manner of sending6. NetworthCertificate andAudited FinancialStatements.7. Internal/Concurrent AuditReport (April -September)Circular No. NSDL/PI/98/414 datedSeptember 1, 1998.Circular No. NSDL/ POLICY/2008/0077 dated November 3, 2008.September30th everyyear.November15th everyyearBy hard copy toParticipant InterfaceDepartment.Digitally signed reportby email at nsdl-bpinspection@nsdl.co.in.Alternatively, by hardcopy to BusinessPartner InspectionDepartment.Circular No.Sub : Submission of Compliance Certificate by ParticipantsNSDL/POLICY/As all Participants are aware, as SEBI registered Intermediaries, Participants2006/0023 are required to comply with the following:Date : July 6, 2006 (i) The Depositories Act, 1996, SEBI (Depositories and Participants)Regulations, 1996, Guidelines / Directives / Instructions issued by SEBI,the Government of India and other Regulatory Bodies from time to time;(ii) The Bye Laws & Business Rules and various circulars issued by NSDL,from time to time.Further, Participants are required to comply with the provisions of Preventionof Money Laundering Act, 2002 and the rules and guidelines issued, thereunder.In this regard, Participants are advised to submit a 'Compliance Certificate'to NSDL in the format given in Annexure I, duly signed and stamped by theCompliance Officer of the Participant, at half yearly intervals (January toJune and July to December to be submitted by July 31 and January 31 ofevery year respectively).Annexure I(To be provided on DP's letterhead)Date:___________ToThe Vice PresidentBusiness Partner Inspection DepartmentNational Securities Depository LimitedTrade World, A Wing, 5th floorKamala Mills CompoundSenapati Bapat MargLower ParelMumbai - 400 013.Dear Sir,Sub : Compliance Certificate for the period _______ to ________I ________________ (name of the Compliance Officer) hereby certify thatthe depository operations of ___________________ (DP Name and DP Id) arein compliance with all applicable laws and especially with respect to thefollowing:(a) The Depositories Act, 1996;(b) The SEBI (Depositories and Participants) Regulations, 1996;(c) The Bye Laws and Business Rules of NSDL.(d) Directives / Circulars / Clarifications / Guidelines issued by SEBI, theGovernment of India, Regulatory Bodies and NSDL, from time to time.[ 243 ]
(e) Prevention of Money Laundering Act, 2002 and the Rules and Guidelinesnotified thereunder by SEBI or Statutory / Regulatory Authorities.Activities in which the company has not been in Compliance, if any, are asunder:a)b)c)d)In respect of the areas of non- compliance, the following steps have beentaken so as to ensure compliance in future.a)b)c)d)Name and Designation of Compliance Officer :Signature of Compliance Officer :DP Id :Stamp of the DP :Acknowledgment by NSDL for submission of Compliance reports by Depository ParticipantsCircular No.Sub : Acknowledgment by NSDL for submission of Compliance reports byNSDL/POLICY/Depository Participants2006/0050 Depository Participants (DPs) are required to submit various reports such asDate : October 19, Internal Audit, Concurrent Audit, Investor Grievances, KYC, Compliance2006 certificates etc. to the different departments of NSDL to meet the respectivecompliance requirements. In this regard, DPs are requested to note that witheffect from November 1, 2006, the recipient department of NSDL will give anacknowledgment about the receipt of the report(s) at the email address ofthe Compliance Officer.In view of the above, DPs are requested to submit the email id(s) of theCompliance Officer, if not submitted earlier or if there are any changes atparticipant-interface@nsdl.co.in (Refer Circular No. NSDL/PI/2005/2550 datedDecember 29, 2005).Format for filing charge structureCircular No. Sub : Format for filing charge structure with NSDL every year by April 30NSDL/POLICY/Attention of Depository Participants (DPs) is invited to NSDL Circular No. NSDL/2007/0003 PI/2006/0064 dated December 26, 2006 (copy enclosed) regarding filing ofDate: January 8, 2007 charge structure with NSDL and penalty therefor in case of non-compliance.The details of charge structure should be provided as per the enclosed format(in MS Excel) and e-mailed to NSDL at dpfees@nsdl.co.inFurther, any subsequent changes (addition/deletion/modification) in thecharge structure of the DP should also be intimated to NSDL in the aboveformat, at the above e-mail Id before such changes become effective.AnnexureDP Statutory Advance/ Account Demat Remat Transaction Pledge Pledge Pledge Pledge Pledge Failed Other RemarksName charges Deposit Maintenance (Debit) Creation Creation Closure Closure Invo- instru- charges,at the confir- confir- cation ction if anytime of mation mation chargesaccountopening[ 244 ]
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NATIONAL SECURITIES DEPOSITORY LIMI
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DISCLAIMERThis Manual provides info
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CIRCULARS INDEXSubject Date(s) Page
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Subject Date(s) Page No.INSTRUCTION
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Subject Date(s) Page No.September 2
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Subject Date(s) Page No.DP SERVICE
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Subject Date(s) Page No.November 14
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Low End DPM System - Recommended ha
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General ManagerMarket Intermediarie
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Name and Address of NomineeName: ..
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(II) Guidelines in respect of accou
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(a) Proof of Identity (POI):I. Pass
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documents which can be accepted as
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are not immovable property. Section
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S. No. ProcedureReference Remark(ix
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(b) If the NRI has never purchased
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appropriate option as given below:(
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(iii) Client should visit the Parti
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Participants should open the deposi
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(c) Participant should collect Proo
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(B)Trust Act, 1950 or The Indian So
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Participants for receiving securiti
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(b)(c)(d)Following documents are re
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Dear Sir,Sub: Shifting of Clearing
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eg. : - In case of joint holdings i
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28 Body Corporate Central Governmen
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Participants are advised to capture
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Account opening - Bank account deta
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Account opening Forms and New Featu
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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
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NOTES[ 82 ]
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Facility for Cancellation of Pendin
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of account (enclosed) issued by you
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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
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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
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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
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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)
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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
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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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Page 211 and 212: Rule 12.6.2(i) Annexure 'OC' - Form
Page 213 and 214: 12.6.3.3. A nomination, substitutio
Page 215 and 216: Rule 12.6.5a) Request for transmiss
Page 217 and 218: 3. Obtain the PAN details of the no
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Page 223 and 224: NOW THEREFORE in consideration of t
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Page 227 and 228: d) After successful entry of the ab
Page 229 and 230: d) After the account holder has suc
Page 231 and 232: E-token* based UserBO Only IDeAS NI
Page 233 and 234: days, in their depository accounts.
Page 235 and 236: Transaction Statement - Controls on
Page 237 and 238: Providing Statement of transaction
Page 239 and 240: 4. The Participant informs such cli
Page 241 and 242: Debit of Mutual Fund Units“______
Page 243 and 244: ChargesNo charge is levied by NSDL
Page 245 and 246: the CSPs and other service provider
Page 247 and 248: The revised details of this facilit
Page 251 and 252: Alteration in Memorandum of Associa
Page 253 and 254: Sr. No. Particulars Reference Deadl
Page 255 and 256: Mobile numberEmail Address of alter
Page 257: Sr.No.Particulars Reference Deadlin
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 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
Page 283 and 284: 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 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
Page 307 and 308: make the Indian securities market a
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Nature of No of No of No of Manner
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Nature of No of No of No of Manner
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NOTES[ 298 ]
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AnnexureCHIEF GENERAL MANAGERMARKET
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Circular No.NSDL/PI/99/637Date: Aug
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Sr.No.Annexure BParticulars Referen
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6) DPs are also advised to note tha
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Manual ElectronicProcessingprocessi
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Participant or any other person pro
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NOTES[ 312 ]
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Rule 4.1.4The permission to use the
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instructions per client account) an
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Securities and Exchange Board of In
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Dear Sir,Sub : Reduction in charges
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3. All the Stock Exchanges are advi
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(II)Penalty in case of non complian
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Circular No.Sub : Addendum to circu
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Fees for Rematerialisation of Secur
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NOTES[ 330 ]
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pose a risk to the international fi
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the ML/FT risks posed by Pakistan a
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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
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Further, Participants are requested
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DPs are also requested to take note
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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
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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
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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
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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
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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
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overnight if new Virus of serious n
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Single Processor8 Online Users are
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Participants are free to choose the
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Description Hardware SoftwareEntry
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Description Hardware SoftwareMinimu
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Circular No.NSDL/PI/2000/032Date: J
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Sr. CPU RAM No. of No. of No. of No
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(2) The hardware configuration for
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• In case the upgradation of your
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NOTES[ 500 ]
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iv. Debenture Trusteesv. Bankers to
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Letter of Representation for Deposi
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NOTES[ 506 ]
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11 Amendments to Business Rules - N
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ANNEXURE BParticipant’s Name, Add
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NOTES[ 512 ]
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