Regulatory timeline extensions for market intermediaries allow delayed compliance for call recordings, KYC uploads and client statements. Extension of compliance timelines for Trading Members, Clearing Members, KYC Registration Agencies and related intermediaries covering maintenance of client call recordings; client funding reporting; operation from alternate trading locations; uploading KYC forms and supporting documents on KRA systems with an extended window and backlog clearance period; and delayed issuance of physical Annual Global Statements upon client request. Stock Exchanges, Clearing Corporations and Depositories must notify members and publish the extensions, which are issued under statutory powers to protect investors and regulate the securities market.
Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
Provisions expressly mentioned in the judgment/order text.
Regulatory timeline extensions for market intermediaries allow delayed compliance for call recordings, KYC uploads and client statements.
Extension of compliance timelines for Trading Members, Clearing Members, KYC Registration Agencies and related intermediaries covering maintenance of client call recordings; client funding reporting; operation from alternate trading locations; uploading KYC forms and supporting documents on KRA systems with an extended window and backlog clearance period; and delayed issuance of physical Annual Global Statements upon client request. Stock Exchanges, Clearing Corporations and Depositories must notify members and publish the extensions, which are issued under statutory powers to protect investors and regulate the securities market.
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