NATIONAL SECURITIES DEPOSITORY LIMITED - NSDL

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Subject Date(s) Page No.March 21, 2009 ...................... 185March 13, 2009 ...................... 186December 13, 2008 ................. 187September 26, 2008 ................ 188June 26, 2008 ....................... 188April 11, 2008 ....................... 189April 04, 2008 ....................... 189April 03, 2008 ....................... 190January 3, 2008 ..................... 191Auto Cancellation of Unconfirmed Pledge/Hypothecation/SLB Orders due toAuto Corporate Actions October 13, 2001 ................... 191October 12, 2001 ................... 191Auto Corporate Action for redemption May 14, 2002 ........................ 192Stipulated time for transfer of securities fromCM Pool Account & Penalty April 22, 2004 ....................... 193TRANSMISSIONTransmission of securities in case of nomination September 1, 2009 ................. 200RBI Clarification on Transmission ofGovernment Securities March 19, 2009 ...................... 200Capturing of PAN details in the DPMASin case of transmission January 23, 2007 ................... 201January 18, 2007 ................... 201Transmission - Processing pending cases November 3, 2000 .................. 202Transmission cum Demat - Removal of time limit June 25,2001 ........................ 202PROVISION OF TRANSACTION STATEMENTTransaction Statements to clients throughInternet (Web-based or Email) May 21, 2008 ........................ 206March 7, 2002 ....................... 207Transaction statement - Provisions through Internet September 22, 1998 ................ 208Internet-based Demat Account Statement - IDeAS July 1, 2010 .......................... 210June 25, 2010 ....................... 210May 25, 2010 ........................ 211May 25, 2010 ........................ 212February 3, 2010 .................... 213September 22, 2009 ................ 213April 11, 2009 ....................... 214April 1, 2009 ......................... 214October 5, 2007 ..................... 217[ vii ]
Subject Date(s) Page No.September 29, 2007 ................ 217October 5, 2006 ..................... 217June 29, 2004 ....................... 218December 20, 2003 ................. 218Exemption from sending physical transactionstatement to subscribers of IDeAS March 24, 2006 ...................... 219Transaction Statement - Controls on despatch October 20, 1999 ................... 220Transaction Statement - Provide transactionstatement and not holding statement January 31, 2000 ................... 220Transaction Statement - RBI directive onproviding Transaction Statement to Bank clients February 22, 2003 .................. 220Transaction Statements - Footnote in the January 4, 2010 ..................... 221transaction statements sent to Clients December 23, 2004 ................. 221June 21, 2004 ....................... 221Providing Statement of transaction toBeneficial Owner consequent to account closure May 11, 2006 ........................ 222Transaction Statements - Exemption from givinghard copies of transaction statementsto Beneficial Owners by DPs August 24,2004 ...................... 222Transaction Statements - Exemption fromproviding transaction statements July 11, 2009 ........................ 223April 1, 2009 ......................... 223January 15, 2009 ................... 224September 9, 2005 ................. 224August 24, 2004 ..................... 225SMS Alert Facility March 4, 2010 ....................... 225January 6, 2010 ..................... 225August 29, 2009 ..................... 226May 6, 2009 .......................... 227April 22, 2009 ....................... 231June 5, 2008 ......................... 231April 22, 2008 ....................... 231September 29, 2007 ................ 232September 21, 2007 ................ 232August 10, 2007 ..................... 233INTERNAL CONTROLS/REPORTING TO <strong>NSDL</strong>/SEBIAlteration in memorandum of Association (MOA)for permitting the participant to undertakeDepository participant activities July 22, 2010 ........................ 236May 19, 2010 ........................ 236Submission of Form-B in softcopy (through email) August 17, 2009 ..................... 236[ viii ]
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: Subject Date(s) Page No.INSTRUCTION
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
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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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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
Page 229 and 230:
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.
Page 235 and 236:
Transaction Statement - Controls on
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Providing Statement of transaction
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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
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NOTES[ 234 ]
Page 251 and 252:
Alteration in Memorandum of Associa
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Sr. No. Particulars Reference Deadl
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Mobile numberEmail Address of alter
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Sr.No.Particulars Reference Deadlin
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(e) Prevention of Money Laundering
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Notes:1. Details of item mentioned
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1. Objectives of auditFollowing are
Page 265 and 266:
ChecklistSrl.No.Audit AreasAuditor'
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Srl.No.Audit Areas4.1.4 Whether iss
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Srl.No.Audit AreasAuditor'sObservat
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Page 273 and 274:
Page 275 and 276:
Annexure 1A. Objectives of internal
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) Circular No. NSDL/POLICY/2007/001
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k) Circular No. NSDL/POLICY/2008/00
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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 :
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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
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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
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TypeType II aI bI cI dI eType IIII
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make the Indian securities market a
Page 309 and 310:
Page 311 and 312:
Page 313 and 314:
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
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
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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
Page 341 and 342:
Circular No.Sub : Addendum to circu
Page 343 and 344:
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
Page 351 and 352:
Circular No. Date of circular Subje
Page 353 and 354:
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
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
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an AML/CFT regime that meets intern
Page 375 and 376:
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
Page 385 and 386:
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
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
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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
Page 415 and 416:
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
Page 427 and 428:
structure. Similar warning message
Page 429 and 430:
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
Page 469 and 470:
3. Incorrect Pin codes in bank addr
Page 471 and 472:
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
Page 495 and 496:
Scan Engine:A virus scan engine is
Page 497 and 498:
overnight if new Virus of serious n
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Single Processor8 Online Users are
Page 501 and 502:
Participants are free to choose the
Page 503 and 504:
Description Hardware SoftwareEntry
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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
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(2) The hardware configuration for
Page 513 and 514:
• In case the upgradation of your
Page 515 and 516:
NOTES[ 500 ]
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iv. Debenture Trusteesv. Bankers to
Page 519 and 520:
Letter of Representation for Deposi
Page 521 and 522:
NOTES[ 506 ]
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11 Amendments to Business Rules - N
Page 525 and 526:
ANNEXURE BParticipant’s Name, Add
Page 527:
NOTES[ 512 ]
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