Internal Audit Report Submission for Clearing Members: September 30, 2026 · 33/2026

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ANNEXURE A

MANUAL FOR SUBMISSION OF INTERNAL AUDIT REPORT BY MEMBER

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

B. Portal login with Sub User ID (For Internal Auditor Registration)

C. Creation of Auditors Login

D. Submission of Conflict of Interest by member

E. Submission of Report by Member

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. Member has to Login using Admin ID and password for creation of sub-user. Go to User Management and then click on Add User.

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[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.

Member needs to create two sub-user ID’s.

1. Sub-user for member’s submission
2. Sub-user for auditor’s submission

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[Image omitted. See the official document.]

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

• • NCL INSPECTION (for member’s login)
• • INSPECTION -INTERNAL AUDIT (for auditor’s login)

& Submit

[Image omitted. See the official document.]

B. Portal login with Sub User ID (For Internal Auditor Registration)

1. Go to Portal and login with Sub User ID (as created above in Step 3).

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[Image omitted. See the official document.]

2. After this step, below screen will be displayed ‘NCL Inspection’ tab at the left side.

[Image omitted. See the official document.]

3. Click on the ‘NCL Inspection’ tab from the left-hand side & NCL Inspection module will be launched:

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[Image omitted. See the official document.]

Note: For each Internal Audit cycle, Members need to register their Internal Auditors irrespective of auditor being an existing auditor.

4. Click on “Auditor Registration” from the dropdown available in the Internal Audit tab. “Auditor Registration” allows members to add new internal auditor with his details.

[Image omitted. See the official document.]

5. Click on Add Auditor to register a new Internal Auditor.

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[Image omitted. See the official document.]

6. On the clicking on the Add Auditor, the member has to fill in all the required details and provide the undertaking as required and click on Submit.

[Image omitted. See the official document.]

[Image omitted. See the official document.]

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7. Fill in the details and provide undertaking and click on submit.

Note:

• i. An ‘Edit’ facility is given to the member to edit the segment, only if the report is not submitted by the auditor. In case the report is submitted, member will not be able to edit the details of the auditor.
• ii. All fields are Mandatory except ‘Expiry Date of COP’.
• iii. Member needs to enter auditor’s correct email id so that after submitting the above form, auditor will receive his login credentials on his/her E mail along with the URL

8. After ensuring that all details have been correctly entered, click “Submit” to register the Auditor.

9. Upon registration, the Internal Auditor shall receive the following indicative e-mail on his registered E mail ID.

“Dear Sir/Madam,

Your Registration for submission of Internal Auditor Report for the period Apr- 26 to Sep-26 has been successfully created.

Please find the details as under:

UserId: User ID
Password: Password
CM Name: Clearing member name
CM Code: Clearing Member Code

Kindly click on the following link https://ims.connect2nsccl.com/NCLMemberPortal/

On clicking the above link for the first time, you will be prompted to change the password, kindly change the password immediately.

You are requested to initiate Internal Audit for the Apr- 26 to Sep-26 for CM, FO, CD,COM segment/s and submit Annexure I, II and V.

In case of any clarification, please contact the Member.”

C. Creation of Auditors Login

After Auditor’s Registration, member shall create the Auditor sub user from NCL Member’s portal login.

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1. Login in NCL Member’s portal admin login, go to User Management click on Add user.

[Image omitted. See the official document.]

2. Select Sub user and click on Next button.

[Image omitted. See the official document.]

3. Add user details, “User ID and Password should be same as entered in Auditor’s Registration. Add mobile number and email id of Auditor. Click on Next.

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[Image omitted. See the official document.]

4. Give role to Auditor. Tick on

• • NCL_INSPECTION- INTERNAL AUDIT and submit.

[Image omitted. See the official document.]

D. Submission of Conflict of Interest by member

1. The member must obtain the ‘Conflict of Interest (COI)’ declaration from the internal auditor and share it with the clearing corporation. Once the auditor submits the Conflict of Interest declaration from auditor login, the member will access the “Auditor Registration” tab and submit their own ‘Conflict of Interest’(COI) by clicking on the 'Conflict of Interest button'. The member will select the response for “Conflict of Interest” and submit the declaration to the clearing corporation.

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[Image omitted. See the official document.]

2. During submission of conflict of interest from member end, the following screen appears:

[Image omitted. See the official document.]

3. Now Auditor can login to Auditor’s login and process the Internal Audit Report.

E. Submission of Report by Member

1. Once the Internal Audit report is submitted by the Auditor, the Member can view the Audit report by accessing the “Internal Audit MIS report” tab in the NCL Member portal.

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2. On clicking the “Internal Audit MIS report” tab, Member will select the period of Internal Audit submission and click “SEARCH” button to view the current Audit report submitted by the Auditor.

[Image omitted. See the official document.]

3. To view the Audit report and to submit the management comments, Member shall click the “Request reference no.” against the current submission. Once clicked, the following page shall be displayed.

[Image omitted. See the official document.]

4. The Member shall download the observation sheet in excel sheet and indicate his acceptance (by selecting Y or N from the dropdown) for each compliance status marked by the Internal Auditor. Once done, Member shall upload the same file by browsing and clicking the upload button.

5. Once the member uploads the excel by incorporating ‘Whether Auditor Comments accepted’ he will be redirected to the next page where he will be able to fill Management Comments for non-complied points only:

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[Image omitted. See the official document.]

6. This screen will display only non-compliance points as marked by the Auditor. Once done, Member shall proceed to fill the contact person name and his/her e-mail ID and the click the “Submit” button.

7. Once submitted, member will be navigated to the next screen i.e. ‘Internal Auditor Report’ having Audit Report (Annexure II) as PDF which needs to be downloaded by the Member.

8. The Member needs to affix the digital signature in the internal audit report (Annexure II) and submit the report by clicking on the “browse” button and clicking the declaration.

9. After submission of the report, the following screen shall appear:

[Image omitted. See the official document.]

-END-

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ANNEXURE B

MANUAL FOR SUBMISSION OF INTERNAL AUDIT REPORT BY AUDITOR: