NATIONAL STOCK EXCHANGE OF INDIA LIMITED DEPARTMENT : PRIMARY MARKET SEGMENT Download Ref No : NSE/CMTR/33999

Date : January 12, 2017

Circular Ref. No : 02 / 2017

All Members Introduction of e-ETF facility under e-IPO Module – Mock Session The Exchange has received approval from the Securities and Exchange Board of India (SEBI) to extend its stock exchange mechanism currently being used for accepting subscriptions for Sovereign Gold Bonds (SGBs) to Further Fund Offer (FFO) of CPSE ETF. With an objective to facilitate acceptance of subscriptions for the FFO of CPSE ETF through Stock Exchange mechanism, an online facility for the investment and subscription of ETF shall be available to trading members of capital market segment with valid ARN on existing web based EIPO platform. Subscription entry for ETF shall be available through single bid entry and bulk upload facility. The file format for bulk upload of demat mode is enclosed as Annexure-1. In order to familiarize with the new facility, the Exchange shall be providing a Mock session for new ‘e-ETF’ on E-IPO platform on 13th, 16th and 17th January, 2017. To participate in the Mock session, members are requested to click on ‘I Accept Terms & Conditions’ available under Misc tab ‘e-ETF’ menu and enter valid ARN no from ADMIN login and thereafter enter applications for subscription from User login. The mock parameters for mock session are as follows. URL for Mock Session Symbol Series Issue Type Mode Sub Categories Issue Session Time Application Amount: Sr. Category of No Investor 1 Qualified Institutional Buyers 2 Non Institutional Investors 3 Retail Individual Investors

http://121.241.2.63/eipo/bidux/login.jsp CPSEETF GR ETF Demat FI, IC, MF, FII, OTH, CO, IND, NOH, NRI, HUF 10:00 AM to 04:00 PM

Minimum Investment Amount Rs. 2,00,001/- and in multiples of Re. 1/- thereafter Rs. 2,00,001/- and in multiples of Re. 1/- thereafter Rs. 5,000/- and in multiples of Re. 1/- thereafter

Maximum Investment Amount Rs. 6000/- Crore Rs. 6000/- Crore Rs. 2,00,000/-

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

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Kindly participate actively in the mock session and in case of any queries please call Toll Free no: 1800 266 00 53.

For and on behalf of National Stock Exchange of India Ltd Khushal Shah Chief Manager 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

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Annexure-1 Bulk Upload Order Entry File Format- Demat Mode (Comma separated file [csv] without header) S.No Field Name

Character Alpha / Numeric AlphaNumeric 12 AlphaNumeric 2 AlphaNumeric 5 Numeric 15

Mandatory / nonMandatory Mandatory Mandatory Mandatory Mandatory

Remarks

Char 4 AlphaNumeric 8

Mandatory Non Mandatory

AlphaNumeric 16 AlphaNumeric 10 AlphaNumeric 16 Char 1

Mandatory Mandatory Mandatory Mandatory

11

Ben ID PAN No ARN No Advisory / Execution EUIN No

NSDL/CDSL Mandatory in case of NSDL NSDL (8) & CDSL (16)

AlphaNumeric 16

Non Mandatory

12 13 14

Sub Broker Code Reference Number Order Number

AlphaNumeric 16 AlphaNumeric 16 Numeric 16

Non Mandatory Non Mandatory

15

Activity Type

Char 1

Mandatory

1 2 3 4 5 6 7 8 9 10

Symbol Series Sub Category Application Amount DP Name DP ID

ARN-XXXXXXXX A-Advisory; E-Execution Mandatory in case of Advisory

BID ID Put 0 or blank in case of fresh order ( will be replaced by order number in out file) N-New entry M-Modification D-Deletion

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

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Bulk Upload Order Entry Success File

S. No

Field Name

Character Alpha / Numeric

Remarks

AlphaNumeric 12 AlphaNumeric 2 AlphaNumeric 5 Numeric 15 Char 4 AlphaNumeric 8 AlphaNumeric 16 AlphaNumeric 10 AlphaNumeric 16 Char 1

Mandatory / nonMandatory Mandatory Mandatory Mandatory Mandatory Mandatory Non Mandatory Mandatory Mandatory Mandatory Mandatory

1 2 3 4 5 6 7 8 9 10

Symbol Series Sub Category Bid Amount DP Name DP ID Ben ID PAN No ARN No Advisory / Execution EUIN No

AlphaNumeric 16

Non Mandatory

Mandatory in case of Advisory

AlphaNumeric 16

Non Mandatory

AlphaNumeric 16

Non Mandatory

14

Sub Broker Code Reference Number Order Number

15

Activity Type

Char 1

Mandatory

16

Application Number User

AlphaNumeric 16

Mandatory

BID ID Put 0 or blank in case of fresh order ( will be replaced by order number in out file) N-New entry M-Modification D-Deletion Auto generated

AlphaNumeric 30

Mandatory

Will be the login id

11 12 13

17

Numeric 16

NSDL/CDSL Mandatory in case of NSDL NSDL (8) & CDSL (16) ARN-XXXXXXXX A-Advisory; E-Execution

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

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Bulk Upload Order Entry Error File S. No 1 2 3 4 5 6

Field Name

7 8 9 10

Ben ID PAN No ARN No Advisory / Execution EUIN No

AlphaNumeric 16 AlphaNumeric 10 AlphaNumeric 16 Char 1

Mandatory / non- Remarks Mandatory Mandatory Mandatory Mandatory Mandatory Mandatory NSDL/CDSL Non Mandatory Mandatory in case of NSDL Mandatory NSDL (8) & CDSL (16) Mandatory Mandatory ARN-XXXXXXXX Mandatory A-Advisory; E-Execution

AlphaNumeric 16

Non Mandatory

Sub Broker Code Reference Number Order Number

AlphaNumeric 16

Non Mandatory

AlphaNumeric 16

Non Mandatory

15

Activity Type

Char 1

16

Application AlphaNumeric 16 Number User AlphaNumeric 30 Error message AlphaNumeric 100

11 12 13 14

17 18

Symbol Series Sub Category Bid Amount DP Name DP ID

Character Alpha / Numeric AlphaNumeric 12 AlphaNumeric 2 AlphaNumeric 5 Numeric 15 Char 4 AlphaNumeric 8

Numeric 16

Mandatory

Non Mandatory Mandatory Mandatory

Mandatory in case of Advisory

BID ID Put 0 or blank in case of fresh order ( will be replaced by order number in out file) N-New entry M-Modification D-Deletion Auto generated Will be the login id

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

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NSE/CMTR/33999 Date - National Stock Exchange

new 'e-ETF' on E-IPO platform on 13th, 16th and 17th January, 2017. To participate in ... login and thereafter enter applications for subscription from User login.

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