NATIONAL SECURITIES DEPOSITORY LIMITED - NSDL

More documents

Recommendations

Info

Description Hardware SoftwareHDDs for RAID-1 implementation& interface to the above RAIDcontroller.Entry Level Intel PIV with 3.0 GHz or MS Windows 2000Server (without Higher CPUServer (License to beHardware RAID)procured by thefor Low Endparticipants)DP/SRMinimum 512 MB DDR RAM Anti-Virus Softwarefor MS Windows 2000Server (License to beprocured byParticipants)256/512KB/1MB/2 MB L2 Cache DPM ApplicationSoftware (Providedby NSDL)PCI Architecture with min MS SQL 2000 Server3 I/O Slots Licence (to beprocured by theParticipants)2*146 GB ( SCSI) or 2*80 GB WinZip (licensed)/(IDE/ SATA) Hard Disk Drive Zipit Fast software ##to be installed in RAID 1with Software RAID.14" Colour monitor / Keyboard/ Server ManagementMouse software *Ethernet CardCD ROM drive(min 52x) tointerface with SCSI orIDE ControllerInternal SCSI card to supportDAT drive20/40 GB Internal / ExternalDAT Drive (from the existingSERVER) or750 MB Zip Drive . DVD Writeroption may also be considered.(Devices used for back-uppurpose).1 parallel port , 3 USB ports &2 fast serial ports #Desktop as Intel PIV/ Celeron with 3.0 GHz MS Windows 2000Server for Low or Higher CPU Server (License to beEnd DP/SRprocured by theparticipants)[ 489 ]
Description Hardware SoftwareMinimum 512 MB System RAM Anti-Virus Softwarefor MS Windows 2000Server (License to beprocured byParticipants)Minimum 128 KB Cache (Celeron DPM ApplicationCPU), 512KB Cache (PIV CPU) Software (Providedby NSDL)PCI Architecture with min MS SQL 2000 Server3 I/O Slots Licence (to beprocured by theParticipants)2*146 GB ( SCSI) or 2*80 GB (IDE/ WinZip (licensed)/SATA) Hard Disk Drive to be Zipit Fast software ##installed in RAID 1 withSoftware RAID14" Colour monitor / Keyboard/ Server ManagementMouse software *Ethernet CardCD ROM drive(min 52x) tointerface with SCSI or IDEControllerDVD Writer or 750 MB Zip Drive(Devices used for Back-up purpose)1 parallel port , 4 USB ports &2 fast serial ports ## The Number of USB ports required would depend on the devices that arerequired to be connected to the server / client## The software Winzip (licensed copy) / Zipit Fast software is required to beinstalled on Windows 2000 Server and on the Client PCs of NSDL setupconfigured for email communication with NSDL using the Outlook Expresssince the contents of the mails sent to the Participants are in zipped(compressed) format.* Server Management Software is supplied along with the MNC brand servers.For National Brand Servers, Participants are required to consult their servervendors. Participants using the "Desktop as Server" are also required to consulttheir vendor about the tools for monitoring the hardware health of theequipment. It is mandatory for all participant to install "Server ManagementSoftware" . Participants may consult NSDL if specific brand of server / Desktopas server does not have their own Server Management Software.DPM System - Recommended hardware configurationCircular No.Participants may be aware that NSDL has permitted the use of IBM, Compaq,NSDL/PI/2002/1911 HP, Digital, Acer and DELL make desktop computers with Microsoft WindowsDate : November 6, 98 and Windows 2000 - Professional Operating System (OS) for DPM Client2002 workstations.[ 490 ]
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 and 10:
Subject Date(s) Page No.September 2
Page 11 and 12:
Subject Date(s) Page No.DP SERVICE
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,
Page 61 and 62:
dematerialized mode. The procedure
Page 63 and 64:
Council Resolutions / EU Common Pos
Page 65 and 66:
Reason codeDescription1 Allotment o
Page 67 and 68:
Dear Sirs,Sub: Mandatory requiremen
Page 69 and 70:
egister the request and the checker
Page 71 and 72:
convenience upto 15 days, by login
Page 73 and 74:
3.3 to collect copies of PAN cards
Page 75 and 76:
Sr. No Activities executed by the R
Page 77 and 78:
(ii) Update the PAN field and enabl
Page 79 and 80:
6. The Stock Exchanges are advised
Page 81 and 82:
4.6. In case of HUF, Association of
Page 83 and 84:
NSDL’s operating guidelines:(a)(b
Page 85 and 86:
No further guidelines in this regar
Page 87 and 88:
AnnexureGENERAL MANAGERMARKET REGUL
Page 89 and 90:
5. The Depositories are advised to:
Page 91 and 92:
c. Power of AttorneyAccount operati
Page 93 and 94:
of the trade for online disseminati
Page 95 and 96:
Annexure IIDP DP ID Client NSDL NSD
Page 97 and 98:
NOTES[ 82 ]
Page 99 and 100:
Facility for Cancellation of Pendin
Page 101 and 102:
of account (enclosed) issued by you
Page 103 and 104:
gram respectively. The purity grade
Page 105 and 106:
(b) Participants are required to ex
Page 107 and 108:
Circular No:Sub: Facility for cance
Page 109 and 110:
Demat request - POA holdersCircular
Page 111 and 112:
Demat request - due carepending cou
Page 113 and 114:
instruction expeditiously. After th
Page 115 and 116:
mode, to decrease the time period i
Page 117 and 118:
NOTES[ 102 ]
Page 119 and 120:
Rule 4.5.2Rule 6.1Rule 12.2.1Rule 1
Page 121 and 122:
Participants can use either the old
Page 123 and 124:
(d)In case any DIS is presented for
Page 125 and 126:
Client, before uploading/executing
Page 127 and 128:
Participants must take note of the
Page 129 and 130:
5. The pre-printed serial number of
Page 131 and 132:
(a) Participants shall accept instr
Page 133 and 134:
(I) Issuance of DISThe procedure fo
Page 135 and 136:
(g)balances existing in the CM Pool
Page 137 and 138:
Instructions - GuidelinesCircular N
Page 139 and 140:
Pool Account. In case of insufficie
Page 141 and 142:
6. Participants must ensure through
Page 143 and 144:
Instructions - Serial number valida
Page 145 and 146:
into hardship. The process would al
Page 147 and 148:
1. The tenure of contracts in SLB m
Page 149 and 150:
Circular No :Sub : Operationalisati
Page 151 and 152:
The salient features of the SLBS ar
Page 153 and 154:
Margins and Collaterals All transac
Page 155 and 156:
VaR Margin and ELM Margin:• VaR m
Page 157 and 158:
hereinafter referred to as 'Partici
Page 159 and 160:
Pay-out of securities/funds of reve
Page 161 and 162:
orders in the SLBS, Participants ma
Page 163 and 164:
2.2 Reverse Leg transactionsOnly th
Page 165 and 166:
2.9 Custodial transactionsIn respec
Page 167 and 168:
Annexure AFile formats for ‘Auto-
Page 169 and 170:
N000001 CM_USER 4 28052010115649722
Page 171 and 172:
(iv) Upon receipt of the request fr
Page 173 and 174:
For more information / clarificatio
Page 175 and 176:
Line Number Integer 5 14 MTransacti
Page 177 and 178:
Internet Transaction Id Integer 15
Page 179 and 180:
Transaction Flag Character 1 18 M I
Page 181 and 182:
ISIN Character 12 190 MQuantity Dec
Page 183 and 184:
Detail Record (934 CM pool to pool)
Page 185 and 186:
Client Id Integer 8 178 MISIN Chara
Page 187 and 188:
Change Orders for the Day (COD)Desc
Page 189 and 190:
Annexure ASalient features of the f
Page 191 and 192:
Order Status Character 2 46Rejectio
Page 193 and 194:
Order Status integer 2 32 MInstruct
Page 195 and 196:
Circular No :Sub: Facility of Inter
Page 197 and 198:
CMs about the new file formats. Eve
Page 199 and 200:
SPEED-eAdmission fee Rs. 2,00,000Pa
Page 201 and 202:
In view of the above, Participants
Page 203 and 204:
in our aforesaid circular will be a
Page 205 and 206:
DPs who have subscribed to SPEED-e
Page 207 and 208:
Auto Corporate Action for redemptio
Page 209 and 210:
NOTES[ 194 ]
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
Page 219 and 220:
NOTES[ 204 ]
Page 221 and 222:
Transaction Statements to clients t
Page 223 and 224:
NOW THEREFORE in consideration of t
Page 225 and 226:
Internet-based Demat Account Statem
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 249 and 250:
NOTES[ 234 ]
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 and 258:
Sr.No.Particulars Reference Deadlin
Page 259 and 260:
(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:
Page 273 and 274:
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 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
Page 307 and 308:
make the Indian securities market a
Page 309 and 310:
Page 311 and 312:
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
Page 321 and 322:
6) DPs are also advised to note tha
Page 323 and 324:
Manual ElectronicProcessingprocessi
Page 325 and 326:
Participant or any other person pro
Page 327 and 328:
NOTES[ 312 ]
Page 329 and 330:
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
Page 339 and 340:
(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 ]
Page 347 and 348:
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
Page 353 and 354:
espectively of the abovementioned t
Page 355 and 356:
2. Back Ground:The PMLA came into e
Page 357 and 358:
prevention of money laundering and
Page 359 and 360:
providing full and complete informa
Page 361 and 362:
c) Registered intermediaries shall
Page 363 and 364:
(ii) all series of cash transaction
Page 365 and 366:
g) Unusual transactions by CSCs and
Page 367 and 368:
and STR to FIU-IND. The reports may
Page 369 and 370:
of Transactions, the Procedure and
Page 371 and 372:
identity and address, one recent ph
Page 373 and 374:
an AML/CFT regime that meets intern
Page 375 and 376:
institutions should remain aware th
Page 377 and 378:
(iv)(v)Details of credit due to off
Page 379 and 380:
Further, Participants are requested
Page 381 and 382:
DPs are also requested to take note
Page 383 and 384:
Further, FIU-IND has also advised t
Page 385 and 386:
have been used as genuine or where
Page 387 and 388:
NOTES[ 372 ]
Page 389 and 390:
Format:Date of Reason for dialup Ty
Page 391 and 392:
NOTES[ 376 ]
Page 393 and 394:
Rule 16.1.2Rule 16.1.3c) Freezing o
Page 395 and 396:
3. Further, it has been noticed tha
Page 397 and 398:
NOTES[ 382 ]
Page 399 and 400:
called the Depository Participant C
Page 401 and 402:
the Participant should capture the
Page 403 and 404:
which highlights various types of b
Page 405 and 406:
In case of any further information/
Page 407 and 408:
ANNEXURE -IMPLS TARIFFNo Bandwidth
Page 409 and 410:
While NSDL will continue to provide
Page 411 and 412:
and at 4.30 pm instead of 4.00 pm o
Page 413 and 414:
Quantity Decimal 18 72 M 15+3 witho
Page 415 and 416:
Transaction Statement ExportFile Fo
Page 417 and 418:
Counter CM-BP Id Character 8 174 O
Page 419 and 420:
157 Lend Initiation161 SLB Confirma
Page 421 and 422:
Original Order Integer 7 66 O Used
Page 423 and 424:
Annexure BRejection reason code and
Page 425 and 426:
(iii) Save the notepad in the SOT/S
Page 427 and 428:
structure. Similar warning message
Page 429 and 430:
2) Addition of new sub-type named
Page 431 and 432:
PAN structure in Client account. Ho
Page 433 and 434:
an account transfer instruction. Th
Page 435 and 436:
e) When the instruction is captured
Page 437 and 438:
• Certified true copy of Board Re
Page 439 and 440:
irrespective of the source and anot
Page 441 and 442:
Detailed Description:General1. The
Page 443 and 444:
In the Version 8.0, a utility will
Page 445 and 446:
instruction (Maker) and the one who
Page 447 and 448:
5. "Cancellation" rights would be a
Page 449 and 450:
File Generation Date and Time : Fil
Page 451 and 452:
5. Creation(N)/ Character 30 "N" :
Page 453 and 454: authorised signatory, which has bee
Page 455 and 456: e set to 3. Whereas DP would be abl
Page 457 and 458: 3 No. of Minimum Number of 2 New va
Page 459 and 460: Functional Rights Admin UserGISMO F
Page 461 and 462: Important Note:Depository Participa
Page 463 and 464: 1. Import PAN and PAN flag in the r
Page 465 and 466: instaed of nominee has been chosen
Page 467 and 468: in the row 4 of the bank address de
Page 469 and 470: 3. Incorrect Pin codes in bank addr
Page 471 and 472: for Clients accounts with statii
Page 473 and 474: In regard to point nos. 4,5,6 and 7
Page 475 and 476: • The systems person must take ba
Page 477 and 478: • Thus communication process shou
Page 479 and 480: Sr. Name of files What to check Whe
Page 481 and 482: Thus, the instructions which are ve
Page 483 and 484: absence of ADMIN User, his/her duti
Page 485 and 486: c) uninstall the existing Microsoft
Page 487 and 488: FAQs for backupCircular No.NSDL/PI/
Page 489 and 490: 6. In case the system flashes a mes
Page 491 and 492: • Restore all the transaction log
Page 493 and 494: Circular No.Attention of Participan
Page 495 and 496: 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
Page 501 and 502: Participants are free to choose the
Page 503: Description Hardware SoftwareEntry
Page 507 and 508: 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 ]
show all

NATIONAL SECURITIES DEPOSITORY LIMITED - NSDL

You also want an ePaper? Increase the reach of your titles

Delete template?

Save as template?