NATIONAL STOCK EXCHANGE OF INDIA LIMITED DEPARTMENT : CAPITAL MARKET SEGMENT Download Ref No : NSE/CMTR/32115

Date : March 31, 2016

Circular Ref. No : 22 / 2016 All Trading Members and Participants Sub: System Audit of Stock Brokers / Trading Members In accordance with Exchange circular download no. NSE/CMTR/26285 dated March 25, 2014 in relation to system audit, Stock Brokers / Trading Members are required to carry out system audit of their trading facility for the period ending March 2016, as per applicability criteria (Annexure – A). The time lines (on or before) for submission of Preliminary audit report, Action Taken Report (ATR) and Follow-on audit report is as given in the following table: Audit Period

Preliminary Audit Report

Action taken Report (ATR) (if applicable)

Follow-on Audit Report (if applicable)

June 30

July 31

Aug 31

Half Yearly (October – March ) Annual (April – March) Once in 2 years (April - March for 24 Months)

Submission of system audit report shall be considered complete only after stock broker / trading member submits the report to the Exchange after providing management comments. Late submission charges of Rs.100 /- per day will be levied to stock brokers / trading members failing to submit the system audit report through NSE ENIT. Stock brokers / trading members shall comply with any non-compliance/ non-conformities (NCs) pending for system audit report for the previous audit periods by submitting ATR and/or Follow-on audit report through ENIT. Kindly refer to the guidelines for submitting the audit report (Annexure ‘B’). For any clarifications please call Toll free number 1800 266 00 53. For and on behalf of National Stock Exchange of India Ltd.

Khushal Shah Chief Manager Telephone No Toll Free no: 1800 266 0053

Fax No 022-26598447

Email id [email protected]

Regd. Office : Exchange Plaza, Bandra-Kurla Complex, Bandra (E), Mumbai – 400 051

Page 1 of 3

Annexure A

Members using the trading software

Sr. No.

Category of Member

NNF and having presence in ≤ 10 locations and have ≤ 50 terminals

NNF and having presence in > 10 locations or have > 50 terminals

Terms of Reference (ToR)

Frequency of audit

Terms of Reference (ToR)

Frequency of audit

Terms of Reference (ToR)

Frequency of audit

NNF and ALGO (irrespective of location and terminals)

1

Stock Brokers / Trading Members

Type - II

Once in 2 years

Type - II

Annual

Type - III

Half yearly

2

Stock Broker/Trading Members who are also depository participants or are involved in offering any other financial services

Type - II

Annual

Type - II

Annual

Type - III

Half yearly

Note: Trading software provided by the Exchange (NEAT / NEAT+) and software provided by Application Service Provider (ASP) shall not be covered in the system audit.

Regd. Office : Exchange Plaza, Bandra-Kurla Complex, Bandra (E), Mumbai – 400 051

Page 2 of 3

Annexure B Guidelines to submit the systems audit report i.

Kindly refer Exchange circular download no. NSE/CMTR/26285 dated March 25, 2014 for auditor selection norms, submission process of Preliminary audit report, Action Taken Report (ATR) & Follow-on audit report and relevant Annexures.

ii.

Steps to submit the Preliminary audit report:

Category

Create login id in Member Portal

System Audit Registration & assign Audit Period in ENIT

Yes

Yes

No

Yes (Mention existing login details, new audit firm’s details and new audit period)

No

Yes (Mention existing login details, audit firm’s details and new audit period)

Member System Audit > System Audit Help File > User Creation -Member Portal

Member System Audit > System Audit Help File > Auditor Registration

Preliminary audit report submission in ENIT

New member (Member undergoing system audit for the 1st time)

Existing member with a new auditor (Member has already undergone systems audit earlier, however wishes to change the auditor for the current period) Existing member with old auditor (Member has already undergone systems audit earlier and wishes to conduct the current audit with existing auditor) Help Files

Relevant help files on ENIT

1. System auditor shall submit the Preliminary system audit report to member. 2. Trading member shall enter management comments in the field provided and submit the Preliminary system audit report to the Exchange.

Member System Audit > System Audit Help File > Auditor Submission / Member Submission

Regd. Office : Exchange Plaza, Bandra-Kurla Complex, Bandra (E), Mumbai – 400 051

Page 3 of 3

NSE/CMTR/32115 Date

Mar 31, 2016 - Chief Manager ... by the Exchange (NEAT / NEAT+) and software provided by Application Service Provider (ASP) shall not be covered in.
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