Submission of Associate Details by Clearing Members

ANNEXURE I

A. Creation of Sub user (As Clearing Member/PCM)

A. Creation of Sub user (As Clearing Member/PCM)

1. Open Internet browser from the desktop .Go to the link https://ims.connect2nsccl.com/NCLMemberPortal/ and then click the Go button from the browser.

[Image omitted. See the official document.]

2. The members are requested to use their existing admin user ids in the NCL portal and click on forgot password and reset the admin password and further create sub users. Go to User Management and then click on Add User.

[Image omitted. See the official document.]

3. The following page will appear. Select Sub user and click on next.

[Image omitted. See the official document.]

4. Add user details, “User ID, Password, Address, mobile number and email id of Sub-user. Click on Next.

[Image omitted. See the official document.]

5.Member has to give role to Sub-user. Tick on

• NCL INSPECTION and submit.
• Sub-User should have access only to NCL_Inspection Sub-menu to access the relvant submisison utility

[Image omitted. See the official document.]

Non-Confidential

ANNEXURE 2

SEPT BY STEP USER MANUAL – SUBMISISON OF ASSOCIATE DETAILS BY CLEARING MEMBERS

1. Login on link https://ims.connect2nsccl.com/NCLMemberPortal/ & put User ID, Member Code, Captcha and Password –

[Image omitted. See the official document.]

2. After Login, click on NCL_INSPECTION

[Image omitted. See the official document.]

Non-Confidential

3. Go to the Compliance tab. Under the compliance tab select “Associate Details Submission”

[Image omitted. See the official document.]

4. The following screen shall appear:

[Image omitted. See the official document.]

Non-Confidential

5. To add the Associate details, click on Add New Row

[Image omitted. See the official document.]

• The fields Clearing Member Code, Primary Member Code, Clearing Member Name and Clearing Member PAN shall auto populate based on the user’s login credentials.
• Select the category of Submission viz:

2. From the list above, in case if the group and associate entities have any listed Security or listed Debt Instrument, the same is required to be disclosed. | | TMS – Trading Member for Self (For this purpose, the Trading Member shall mean Trading members for whom the clearing member is clearing trades) | 1) The details of all the Trading Members.

3. From the list above, in case if the Trading Members have any listed |

Non-Confidential

2. From the list above, in case if the group and associate entities have any listed Security or listed Debt Instrument, the same is required to be disclosed. |

• On selection of ISIN from the dropdown, the symbol and name of the listed instrument shall auto-populate
• In case of submission of Associate details for Trading Member associated with the clearing member, the TM Code can be selected from the drop down. The TM Name and TM PAN shall auto populate basis the TM code selected.
• In case of submission of Associate details where the PAN of associate is not available, members are required to provide the reason why the PAN is not available for the entity.
• Help Manual for fields to be filled in for each category is provided can be downloaded from Portal.

[Image omitted. See the official document.]

Non-Confidential

• If associate PAN is not available, mention the reason in “Reason for PAN not available”

[Image omitted. See the official document.]

Non-Confidential

6. On filling in the details, click on submit to NCL

[Image omitted. See the official document.]

The following pop-up will appear, indicating that the submission has been completed successfully.

[Image omitted. See the official document.]

Non-Confidential

7. In case of NIL associates, the same is also required to be intimated to the Clearing Corporation under CMS. Member can select option “Submit as Nil Submisison”. The Clearing Member shall be allowed to provide Member NIL Submissions through front end only.

[Image omitted. See the official document.]

[Image omitted. See the official document.]

Non-Confidential

The following pop-up will appear, indicating that the NIL submission has been successfully updated.

[Image omitted. See the official document.]

8. Members are requested to review the associate details displayed on the portal. In case of changes in Associate details i.e deletion of existing submissions, members can select on the delete icon ( ) on the row and delete the record. Members can delete or add record in the Portal. There is no option to edit the associate details already submitted.

[Image omitted. See the official document.]

Non-Confidential

The following pop-up will appear, indicating that the records has been deleted successfully.

[Image omitted. See the official document.]

Bulk Upload Functionality:

9. For ease of submitting multiple records, member have been provided a functionality to upload multiple records through the bulk upload functionality process. The Clearing Member shall be allowed to provide Member NIL Submissions through front end only.

[Image omitted. See the official document.]

Non-Confidential

10)Members can download Template from the portal for filling in the details for bulk upload.

11)Members shall upload the file on filling in the requisite details on the portal Ensure that the file name follows the format “MEMCODE_ASSOC_DDMMYY”

[Image omitted. See the official document.]

12. On uploading the file, for the records updated successfully, members shall get an alert regarding number of records successfully updated. Member shall be able to view the success file.

[Image omitted. See the official document.]

Non-Confidential

13. On uploading the file, for the records which could not be uploaded, members shall get a failure alert. Member shall be able to view the failure file with reasons for failure.

[Image omitted. See the official document.]

14. In case of multiple entries, some records may be uploaded successfully while others may result in an error. Success records shall get added to the submissions details. The member shall be able to view both the success file and the error file separately.

[Image omitted. See the official document.]

Non-Confidential

15)For entering TM details, the member must select the TM code from the dropdown. The remaining fields TM Name and TM PAN shall auto populate.

• In case TM code not found in the drop down, contact membership@nsccl.co.in

[Image omitted. See the official document.]

16)In case if ISIN or TM code is not available for selection, members may send the issues to “membership@nsccl.co.in” with the subject line “NCL Associate Details Submission– Issues in Reporting “Name of the Clearing member name and Member code” along with screenshot.

17)MIS Download Functionality Members have an option to download the complete submission details from the Portal for ease of reviewing the submissions. Members can click on Export to CSV for getting the complete details of the submissions.

Non-Confidential

[Image omitted. See the official document.]

Non-Confidential

Common Queries on Submission of Associate details by Clearing Members

1. Why are the associate and group details required to be submitted to NCL

SEBI Circular No SEBI/HO/MRD/MRD-PoD-3/P/CIR/2024/65 dated May 29, 2024 relating to Norms for acceptable collaterals and exposure of Clearing Corporations provides as follows: