Monthly Statement to be furnished by a stock exchange in respect of transactions in which client codes have been modified after registering in the system for the month of …
Sl. No. | Particulars of the stock exchange | |
1. | Name | (refer Note 1) |
2. | Address | (refer Note 2) |
3. | Permanent Account Number | |
4. Details of transaction in which client codes have been modified after registering in system are enclosed in a soft copy as annexure.
DECLARATION
I………………(name of the principal officer) having Permanent Account Number … … … … … .. in my capacity as … of … . (name of stock exchange) hereby certify that all the particulars furnished above are correct and complete.
Place: Signature of the Principal Officer of the Stock Exchange
Date: Name:
Designation:
Annexure to FORM NO. 1
(Soft Copy)
Derivative Market (for scrips)
S l. N o. | Trans action ID | Bro kers ‘ Na me | Bro kers ‘ Id | Orig inal Clie nt Cod e | Na me of the orig inal Clie nt | PA N of the orig inal clie nt | Mod ified Clie nt Cod e | Nam e of the mod ified Clie nt | PAN of the mod ified clien t | Sc rip Na me | Sc rip C od e | Qua ntity | R at e | Total Value of Trans action | B u y or S al e | Date of Trans action |
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Derivative Market (for commodity)
S l. N o. | Trans actio n ID | Bro kers ‘ Na me | Bro kers ‘ Id | Ori gin al Clie nt Cod e | Na me of the ori gin al Cli ent | PA N of the ori gin al clie nt | Mo difie d Clie nt Cod e | Na me of the mod ifie d Clie nt | PA N of the mod ifie d clie nt | Com modit y deriv ative name | Com modit y deriv ative code | Qua ntit y | R at e | Total Value of Trans actio n | B u y or S al e | Date of Trans actio n |
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Cash Market
S l. N o. | Trans action ID | Bro kers ‘ Na me | Bro kers ‘ Id | Orig inal Clie nt Cod e | Na me of the orig inal Clie nt | PA N of the orig inal clie nt | Mod ified Clie nt Cod e | Nam e of the mod ified Clie nt | PAN of the mod ified clien t | Sc rip Na me | Sc rip C od e | Qua ntity | R at e | Total Value of Trans action | B u y or S al e | Date of Trans action |
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Notes:
1. The name shall be provided in full.
2. The address shall contain i. Country/Region, ii. Flat/Door/Building iii. Road/Street/ Block/Sector, iv. PIN/ZIP Code, v. Post Office, vi. Area/locality, vii. District, viii. State.
3. Some of the information in the form would be pre-filled to the extent possible.
4. Amounts to be filled in ₹ unless otherwise provided.