Risk Based Supervision Submission for Half Year Ended September 2026
NSE circular NSE/INSP/76664 · 01 Oct 2026
Official title
Risk Based Supervision (RBS) - Submission of information for the period April 01, 2026 - September 30, 2026 (Half Year ended September - 2026)
Official record
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The National Stock Exchange requires all active trading members to submit Risk Based Supervision data for the period from April 01, 2026, to September 30, 2026. Active members include those who executed at least one trade during this assessment period. Members must submit the required information electronically through the Inspection module in the Member portal. The deadline for submission is November 30, 2026. Failure to submit or delayed submission results in financial disincentives and potential trading disablement as specified in the circular. The Exchange shares this data with SEBI for regulatory oversight.
What you must do
- Submit the required information and data electronically through the Inspection module in the Member portal.
Key dates
- Deadline for submission of RBS data
- 30 Nov 2026
Document text
National Stock Exchange of India Limited
Circular
DEPARTMENT: INSPECTION
| Download Ref No: NSE/INSP/76664 | Date: October 01, 2026 |
|---|---|
| Circular Ref. No: 46/2026 |
To All Trading Members,
Sub: Risk Based Supervision (RBS) - Submission of information for the period April 01, 2026 – September 30, 2026 (Half Year ended September - 2026)
Members are requested to submit the information / data towards the Risk Based Assessment for the period April 01, 2026 – September 30, 2026 to the Exchange. The particulars of such information / data sought in this regard are enclosed as Annexure - A. The same has to be submitted to the Exchange electronically through the Inspection module in the Member portal latest by November 30, 2026.
The procedure for submitting the same through the Inspection module in the Member portal is given in Annexure - B of this circular.
It is to be noted that the submission of RBS data is mandatory for all active Members of the Exchange (i.e. those who have executed even a single trade during the assessment period i.e. April 01, 2026 – September 30, 2026). Further, the data collated from the Members/Exchange towards RBS is shared with SEBI and in case of any non-submission/delayed submission by a Member, disciplinary action as prescribed in Annexure - C will be initiated.
All Members are advised to take note of the above and comply.
For and on behalf of
National Stock Exchange of India Limited
Ajinkya Nikam
Chief Manager – Inspection
In case of any clarifications, Members may contact our below offices:
| Regional Office | Contact No. | e-mail Id |
|---|---|---|
| Ahmedabad (ARO) | 079-65278024/55 | inspectionahm@nse.co.in |
| Chennai (CRO) | 044- 66309915/17 | inspection_cro@nse.co.in |
| Delhi (DRO) | 011-23459146/127/144/147 | delhi_inspection@nse.co.in |
| Kolkata (KRO) | 033- 40400404/06 | inspection_kolkata@nse.co.in |
| Mumbai (WRO) | 022-61928200 | compliance_wro@nse.co.in |
| Central Help Desk | compliance_assistance@nse.co.in |
Annexure – A
RISK TEMPLATE FOR MEMBERS FOR THE ASSESMENT PERIOD APRIL 01, 2026 - SEPTEMBER 30, 2026
| Sr. No. | Particulars | Description |
|---|---|---|
| A | Details of Branches | |
| 1 | Total no. of Branches as on last day of Assessment Period | Total Number of Branches of the Member (Excluding AP) as on assessment period |
| a | No. of Branches with Terminals | |
| b | No. of Branches without Terminals and having client servicing facility | |
| 2 | Number of Branches Inspected by Member during the Assessment Period | Count of Branches Inspected by Member during the assessment period |
| a | No. of Branches with Terminals | |
| b | No. of Branches without Terminals and having client servicing facility | |
| B | Details of Branches / AP offices with order placement facility | |
| 3 | Number of branches having order placement facility | Count of branches as on the assessment period as per SEBI circular SEBI/HO/MIRSD/DOP1/CIR/P/2018/54 dated March 22, 2018. |
| 4 | Number of APs offices having order placement facility | Count of APs offices of the member as on the assessment period as per SEBI circular SEBI/HO/MIRSD/DOP1/CIR/P/2018/54 dated March 22, 2018. |
| C | No. Internet trading clients | |
| 5 | Total Internet Trading Clients | Total number of registered clients who have been provided internet trading facility (IBT) as on assessment period. |
| D | No. of clients categorized as high risk clients e.g. PEPs, clients from countries mentioned in the FATF statements, NRIs, etc. registered as on assessment period - Total Number of Registered clients categorised by Member through the adoption of an appropriate client due diligence process as specified by the Prevention of Money Laundering Act, PMLA, 2002 | |
| 6 | PEP | Politically Exposed Persons |
| 7 | FATF | Clients in high-risk countries identified in the Financial Action Task Force (FATF) statements published regularly. |
| 8 | NRI | Non-resident clients |
| 9 | MF/ Trusts | Mutual Funds/ Trusts Categorised as High Risk |
| 10 | Others | Others: - Charities, Non-Governmental Organizations (NGOs) and organizations receiving donations, Clients with dubious reputation, Companies offering foreign exchange offerings etc. |
| E | Other Details | |
| 11 | Total No. of employees, employed for broking operations | Total Number of people employed by the Member including contract staff for broking operations as on last day of Assessment period |
| 12 | Type of Insurance cover obtained by the Member. | The type of Insurance cover taken by the Member e.g. Stock Brokers Indemnity Policy, fire insurance etc. as on the Last day of assessment Period. |
| 13 | Amount of Insurance cover obtained by the Member. (Rs.) | The aggregate amount of all insurance cover obtained by the Member as on assessment period. |
| 14 | Brokerage income for the assessment period (in Rs.) | Gross brokerage revenue from broking operations across all exchanges. |
| 15 | Operating profit/ loss for the Member for the assessment period (in Rs.) | Profit / loss from broking operations before tax (For all Exchanges) |
| 16 | Total amount of delayed payment charges collected from the clients (Rs.) | Total Amount of late/delayed payment charges/ interest levied on clients during the assessment period (across all Exchanges) (excluding interest charged under the Margin Trading Facility) |
| 17 | Number of STRs filed during the Assessment Period | Count of the Suspicious Transaction Reports filed with FIU-India |
| F | Loans given to group companies/ associates/ subsidiaries/ key persons during the assessment period– details, secured/ unsecured and amount involved. | |
| 18 | Details of loans | Details of loans to group companies/ associates/ subsidiaries / Key person/other entity |
| 19 | Secured loans (In Rs.) | Total amount of secured loans given by the Member to group companies/ associates/ subsidiaries |
| 20 | Unsecured loans (In Rs.) | Total amount of un-secured loans given by the Member to group companies/ associates/ subsidiaries |
| G | Details of action taken by Police or any Foreign regulator | |
| 21 | Number and details of actions initiated/ taken/ pending against Member or its employees by police w.r.t. frauds, forgery, etc. | |
| No. of instances of Actions initiated/pending | Number of total proceedings initiated by Police (if any) for fraud, forgery etc. during the assessment period | |
| No. of instances of Actions taken | Number of total action by Police (if any) during the assessment period | |
| 22 | Whether any disciplinary action initiated/ pending/ taken, details and penalty levied by any foreign regulator against the Member for regulatory non-compliances in their jurisdiction? | |
| No. of Instances | Number of total non-compliances observed by foreign regulator (if any) during the assessment period | |
| Penalty levied (In Rs) | Penalty levied for the non-compliances observed by foreign regulator (if any) during the Assessment Period | |
| H | No. of Instances of sharing of client Information | |
| 23 | No of Instances of sharing client KYC or trade information with associate/ group company/ third party. | Number of Instances of sharing of client information without his express consent during the assessment period |
| I | Disciplinary actions against key persons of the Member | |
| 24 | Details of disciplinary actions initiated/ taken against key persons of the Member by SEBI, or any other regulatory authority during the assessment period viz. name of concerned person, Designation/Relation, PAN, type of action and penalty if any. Also, specify the consent amount, if any. | |
| Details of disciplinary actions initiated/ taken | Details of disciplinary actions against key persons during the assessment period | |
| No. of Instances | Number of actions taken against the key persons of the Member during the assessment period. | |
| Penalty levied/ consent amount (In Rs.) | Penalty levied/consent amount for such disciplinary actions initiated/taken | |
| J | Actions initiated/ taken/ pending against the stock broker, its employees, key persons*, controlling person | |
| 25 | Number of instances and amount involved, if any, in actions initiated/ taken/ pending against the stock broker, its employees, key persons*, controlling person by SEBI, SAT, Courts, Consumer Forums, stock exchanges, other regulators, etc. pertaining to securities market operations in the Assessment Period | |
| No. of Instances of non-compliances | No. of Instances of non-compliances | |
| Penalty levied (In Rs) | Penalty levied (In Rs) | |
Source details
- Source
- National Stock Exchange of India
- Type
- circular
- Published by source
- 01 Oct 2026
- Document number
- NSE/INSP/76664
- Issuing division
- INSPECTION
- Coverage area
- securities