SEBI SUPERVISION REPORTS WEEKLY

Discussion,Modification,Bugs Reporting and clarification in Any Module of Capex71 & foPRO71 Products.

SEBI SUPERVISION REPORTS WEEKLY

Postby ods » Sat Dec 17, 2016 11:35 am

Dear All,

As per NSE circular No. NSE/INSP/2016/33276 dated 27-Sep-2016,SEBI circular No. SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 Dated 26-Sep-2016, BSE circular No. 20160927-41 dated 27-Sep-2016 for Enhanced Supervision of Stock Brokers. We have successfully implemented the same in Capex10.

Option available under Desktop>>Inspection Reports>>Sebi Fund Supervision Report

Please download latest version of Capex10 [Build No. 11778] from our Website.http://www.shilpisoft.com/downloads/capex62.zip

Please follow below point before start for calculation.

1. Use bank reconciliation for all client Bank Accounts.
2. Clients Bank Accounts group should be map with Bank Accounts.
3. Client Accounts proper map with Debtors/Creditors, Main group and sub-group should be Sundry Debtors/creditors.
4. PRO/OWN Account should be map with PRO Group.
5. Exchange/Clearing member deposit enter manually under exchange/CM deposit.
6. Breakup all column available on "balance detail" button.

Pl take care for the followings :-
1. Table 1 - If G<0 means broker use client fund for pro / client obligation.
2. Table 2 - If I>0 means broker use client fund for pro margin obligation.
3. Table 3 - If J>0 means broker use client fund for margin obligation for debit clients and pro margin obligation.

If any violation in above report, Please check your available deposit with Exchange/Clearing Member and check before exporting for exchange.

Regards

Shilpi Technical Team
Last edited by ods on Sat May 27, 2017 3:27 pm, edited 1 time in total.
ods
Shilpi Support
 
Posts: 91
Joined: Sat Jun 02, 2012 10:43 am

SEBI SUPERVISION REPORTS WEEKLY

Postby ods » Sat May 27, 2017 3:26 pm

Dear All,

Subject :Uploading Client's "Fund and Securities Balance" by the stock Brokers on stock exchanges system.

As per NSE circular No. NSE/INSP/2016/33276 dated 27-Sep-2016,SEBI circular No. SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 Dated 26-Sep-2016, BSE circular No. 20160927-41 dated 27-Sep-2016 for point No.7. Uploading Client's "Fund and Securities Balance" by the Stock brokers on stock exchanges system. We have successfully implemented the same in Capex10.

Option available under Desktop>>Inspection Reports>>Sebi Fund Supervision Report

Please download latest version of Capex62 [Build No. 11779] from our Website.http://www.shilpisoft.com/downloads/capex62.zip

We will cover below point in "Fund and Securities" balance report.

7.1.1 Exchange wise end of day fund balance as per the client ledger, consolidated across all segments.

7.2.2 End of day securities balances (as on last trading day of the month) consolidated ISIN wise (ie. total number of ISINs and number of securities across all ISINs).

Please check your Fund and Securities Balance with client and check before exporting for exchange.

Regards

Shilpi Technical Team
ods
Shilpi Support
 
Posts: 91
Joined: Sat Jun 02, 2012 10:43 am


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