Custodian reporting obligations: mandatory annual expert review filing, monthly market-value reports, and ISIN data submission requirements. Custodians must file an annual expert review of systems, procedures and controls covering client and regulatory obligations, including FII transaction reporting, with an Action Taken Report; submit certified monthly market-value reports of securities held in custody using the prescribed format by the seventh day of the following month; follow standardised data-format rules for equity and debt reporting; submit separate reports for trading on SEBI holidays; and provide issuer information in the prescribed format to enable ISIN issuance for unlisted securities, with auditor and executive certifications as required.
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Provisions expressly mentioned in the judgment/order text.
Custodian reporting obligations: mandatory annual expert review filing, monthly market-value reports, and ISIN data submission requirements.
Custodians must file an annual expert review of systems, procedures and controls covering client and regulatory obligations, including FII transaction reporting, with an Action Taken Report; submit certified monthly market-value reports of securities held in custody using the prescribed format by the seventh day of the following month; follow standardised data-format rules for equity and debt reporting; submit separate reports for trading on SEBI holidays; and provide issuer information in the prescribed format to enable ISIN issuance for unlisted securities, with auditor and executive certifications as required.
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