MEMBERSHIP DEPARTMENT

Circular No. 283

Ref.No.: NSE/MEM/3575

August 29, 2002

Dear Members,
Sub: Request for Status Report from the Exchange
Trading members / Banks / Financial Institutions/Mutual Funds have been requesting the
Exchange for issue of conduct certificate / No objection certificate / Disciplinary action
taken, for empanelment, availing/renewal of credit facilities and other purposes.
In this regard, it may be noted that Banks/Financial Institutions/ Mutual Funds/ other
agencies may continue to empanel or grant any credit facility to any trading member
based upon their assessment and criteria adopted in accordance with their policies in
vogue.
In case such Banks/Financial Institutions/ Mutual Funds/ other agencies require any
information on the matters mentioned in application as per Annexure 1 from the
Exchange in respect of any particular trading member, they may forward their request
through the concerned trading member who shall make an application to the Exchange in
format prescribed in Annexure 1. On receipt of such application, the Exchange may
provide a Status Report in respect of the trading member concerned in the format as per
Annexure 2.
While applying for such Status Report, trading members are advised to clearly
mention/specify the date as on which they need the Status Report. Trading members are
advised to tick the items for which they would like the Exchange to furnish the Status
Report in Annexure 1. Applications not made in the prescribed format as per Annexure 1
shall not be processed and be liable to be rejected summarily.
Trading members are requested to kindly take note of the above and bring the same to the
notice of the empanelling Banks/Financial Institutions/ Mutual Funds/ other agencies.
For National Stock Exchange of India Ltd.

J H Bosco
Asst. Vice President

Annexure 1

(On the letter head of the trading member)

Application for Status Report in respect of M/s. __________ (name of the trading
member)

Asst. Vice President

The Membership Department
National Stock Exchange of India Ltd.
Exchange Plaza,
Bandra-Kurla Complex,
Bandra (E)
Mumbai 400 051.

Date:

Dear Sir,
We request you to issue a Status Report for the purpose of _______. You may
please issue the Status Report as on ___ in respect of the following points ticked
herein below:

Dues pending (value)

Investor Grievance cases pending (number and value)
Arbitration cases pending (number and value)
Arbitration award against trading member pending compliance
value)
Disciplinary action taken (in last one year other than reprimand)

Disciplinary action in progress

(tick the respective status as required)
Yours faithfully,

(Signature and name of Director/Partner)

(number and

Annexure 2
Format of Status Report that would be issued by the Exchange
REF. NO. :

Date:
TO WHOMSOEVER IT MAY CONCERN

Dear Sir,
Sub: Status report in respect of M/s. __________ (Name of the trading member)
With reference to an application regarding ______ (purpose) made by ___ (name of the
trading member), we would like to state that M/s. Name of the trading member is
admitted as a trading member on the National Stock Exchange of India Limited bearing
SEBI Registration No. INB23____and INF23____ (as applicable). The status of the
trading member on the Exchange as on ______ is as follows:
Particulars *
Segment/s enabled and the date/s of
enablement
Dues pending
Investor Grievance cases pending (number
and value)
Arbitration cases pending (number and
value)
Arbitration award against trading member
pending compliance (number and value)
Disciplinary action taken (in last one year)
(other than reprimand)
Disciplinary action in progress

Status
Segment/s
Wholesale Debt
/Capital/F&O Market
segment (as applicable)
Rs.
Number:
Rs.
Number:
Rs.
Number:
Rs.
Penalty/Fine/Other action Rs.

Date/s of
enablement

Yes/No (as applicable)

Yours faithfully,
For National Stock Exchange of India Ltd.

Disclaimer: Please note that the above information is given based on the records available with
the Exchange and shall not be construed as making any recommendation in any manner.
* only those particulars as applied for by the trading member shall be furnished.