Half-Yearly Submission of Associate and Subsidiary Entity Details · NSE/COMP/76906

National Stock Exchange of India

Circular

To All Members,

Sub: Half-Yearly Submission of details of Associate/Subsidiary Entities

This is with reference to the submission of details pertaining to Associate/Subsidiary Entities under the Risk Based Supervision (RBS) framework.

Based on the representations received from Brokers Industry Standard Forum (“ISF”) and in consultation with SEBI, it was decided that the certain information/details under the Risk Based Supervision (RBS) shall be sourced by Exchanges internally and/or through other submissions by members to Exchanges. It was also decided that the details pertaining to Associate/Subsidiary will be taken as a separate submission.

In this regard, all Trading Members are requested to submit the details of their Associate/Subsidiary Entities on a half-yearly basis. Trading Members are required to submit the details of their Associate/Subsidiary Entities for the half-year ended March 31, 2026, on or before November 15, 2026.

For facilitating the submission of said information, the Exchange has developed an online module on ENIT Portal. The path for online submission of the details pertaining to Associate/Subsidiary Entities is given below.

Path: ENIT $\rightarrow$ ENIT-NEW-Compliance $\rightarrow$ Compliance $\rightarrow$ Associate and Subsidiary $\rightarrow$ Associate and Subsidiary Submission

Further, Trading Members are also required to notify the Exchange of any changes in the details of their Associate/Subsidiary Entities, including additions, deletions, or modifications, as and when such changes occur within 30 calendar days of the said changes.

Further, as per technology-based sharing mechanisms of common submissions among Exchanges, trading members of NSE who are also registered with any other Exchange(s) (BSE/MSE/MCX/NCDEX) are required to submit details of associate/subsidiary to NSE. NSE will share this submission with the respective Exchange/s.

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The process manual for submission of details pertaining to Associate/Subsidiary Entities through the ENIT portal is provided in Annexure-A.

All Trading Members are advised to take note of the above and comply.

For any support, please reach out to the helpdesk on 1800 266 0050 (Select IVR option 3) or email at memcompliance_support@nse.co.in

For and on behalf of
National Stock Exchange of India Limited

Sonal Sharma
Senior Manager

National Stock Exchange of India

Annexure A

• Half-Yearly Submission

Step by step guide to submit the details of Associate/Subsidiary Entities.

1. Login to Member portal – ENIT-NEW-Compliance -> Compliance -> Associate and Subsidiary -> Associate and Subsidiary Submission

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2. On clicking “Associate and Subsidiary Submission”, below page will get open:

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3. Details to be filled in Parameters –

• a. Member Name – This field will be auto-populated with the Member Name
• b. Member Code – This field will be auto-populated with the Member Code

4. Submission Period - Select the Submission Period Half Yearly Submission

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5. Date – This field will be auto-populated with date 31-March-2026

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6. Whether you have any associate entity? – Select “Yes” if the Member has any Associate Entity. Select “No” if the Member does not have any Associate Entity.

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7. Whether you have any subsidiary entity? – Select “Yes” if the Member have any Subsidiary Entity. Select “No” if the Member does not have any Subsidiary Entities.

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8. In case, Trading Member does not have any Associate Entity and Subsidiary Entity, select “No” for both fields “Whether you have any associate entity?” and “Whether you have any subsidiary entity?“ and click on the “Submit” button to complete the submission.

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9. If Member selected “Yes” for any of the tabs “Whether you have any associate entity?” or “Whether you have any subsidiary entity?“ then following tabs will open and details to be filled in parameters.

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| Names of Company | - Enter the name of Associate Entity/ Subsidiary Entity

• This field is mandatory | |---|---| | Relation with TM | - Select the relationship of the Associate Entity/ Subsidiary Entity with the Trading Member from the dropdown: ➢ Associate Company ➢ Wholly-owned subsidiary Company ➢ Subsidiary Company ➢ Group Company ➢ Related Party ➢ Other
• This field is mandatory | | Indian / IFSC / Overseas | - Specify the jurisdiction in which the Associate Entity/ Subsidiary Entity is incorporated or operated from the dropdown: ➢ Indian ➢ IFSC ➢ Overseas
• This field is mandatory | | PAN Number (Enter PANNOTAPPL, if PAN not applicable) | - Provide the PAN of Associate Entity/ Subsidiary Entity
• If PAN is not applicable, enter “PANNOTAPPL”
• This field is mandatory | | Registration Number, if any | - Provide the Registration Number of the Associate Entity/ Subsidiary Entity, if available
• This field is Optional | | Regulator Name | - Select the regulator governing the Associate Entity/ Subsidiary Entity from dropdown: ➢ SEBI ➢ RBI ➢ IRDA ➢ NABARD ➢ AMFI ➢ PFRDA ➢ Other
• This is a Mandatory field | | Financial Market Sector | - Select Financial Market Sector of the Associate Entity/ Subsidiary Entity from the dropdown: |

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| | ➢ Banking ➢ Mutual Fund ➢ NBFC ➢ Pension fund ➢ Primary Dealer ➢ Depository Participant ➢ Stock Broker ➢ Insurance ➢ FPI ➢ Investment Advisor ➢ AIF ➢ AMC ➢ Venture Capital ➢ RTA ➢ Research Analyst ➢ Clearing Member ➢ Custodians ➢ Others

• This is a Mandatory field | |---|---| | Status of the entity | - Select whether the Associate Entity/ Subsidiary Entity is “Active” or “Inactive”
• This is a Mandatory field | | Add More / Remove Button | - Click “Add More” button to add additional Associate Entity/ Subsidiary Entity
• Click “Remove” button to delete an existing Associate Entity/ Subsidiary Entity entry |

10. After putting all the details, click on “Submit” button.

Note:
Trading Members are required to inform the Exchange of any addition, deletion, or changes in the details of their Associate/Subsidiary Entities as and when such changes occur within 30 calendar days of such change.

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• Changes as on submission

Trading Members are required to notify the Exchange of any changes in the details of their Associate/Subsidiary Entities, including additions, deletions, or modifications, as and when such changes occur within 30 calendar days of such change.

For such submission, Trading Members shall follow the same steps as mentioned above. However, under “Submission Period” - select “Changes as on” (Refer Point no. 4) and select the applicable date on which changes occur.

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To check the submissions – MIS

1. Click on ENIT-NEW-Compliance -> Compliance -> Associate and Subsidiary -> Associate and Subsidiary MIS

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2. On clicking “Associate and Subsidiary MIS”, below page will get open and click on “Search” button.

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3. Member has an option to download the report in Excel format by clinking on “Detail Report” button.

[Image omitted. See the official document.]