NATIONAL STOCK EXCHANGE OF INDIA LIMITED DEPARTMENT : INSPECTION Download Ref.No.: NSE/INSP/26963

Date : June 20, 2014

Circular Ref.No.: 187/2014

To All Trading Members and Clearing Members Sub : Reminder for submission of Internal Audit Report for the Half Year Ended March, 2014 This has reference to our circular Ref. No. : 181/2014 (download reference no. NSE/INSP/ 26582) dated April 30, 2014 and subsequent reminder Circular Ref. No. 185/2014(download reference no. NSE/INSP/ 26844) dated June 3,2014 requiring all trading members / clearing members to carry out complete internal audit on a half yearly basis by independent qualified Chartered Accountants or Company Secretaries or Cost and Management Accountants who are in practice and who do not have any conflict of interest. Attention of members is once again drawn to the above mentioned circulars, requiring members to submit Half Yearly Internal Audit Report for the period from October 2013 to March 2014 on or before June 30, 2014 through ENIT only. The Exchange has made the process of submission of Internal Audit reports paperless. Accordingly, a new facility has been introduced that enables the Internal Auditors to submit Internal audit reports electronically through ENIT as per the procedure given below :– i. Members to create a login id for their Internal auditor. ii. Internal Auditor to conduct the Audit and upload the digitally signed report to the ENIT. iii. Once Internal audit report is uploaded on ENIT, Member shall provide their management comments and submit the Audit report to the Exchange. iv. Submission shall be considered final only when the final report along with the management comments is received by the Exchange through the above process. In view of the above, members are requested to submit the Internal Audit Report before June 30, 2014 in the prescribed format and comply with the regulatory requirements so as to avoid delay/non submission charges / disciplinary action against them for the non submission of the report. For and on behalf of National Stock Exchange of India Limited

Regd. Office : Exchange Plaza, Bandra Kurla Complex, Bandra (E), Mumbai – 400 051

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Rachana Bhusari Chief Manager

Telephone No 1800 2200 51

Fax No +91-22-26598194

Email id [email protected] o.in

Regd. Office : Exchange Plaza, Bandra Kurla Complex, Bandra (E), Mumbai – 400 051

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national stock exchange of india limited - NSE

Jun 20, 2014 - 30, 2014 in the prescribed format and comply with the regulatory requirements so as to avoid delay/non submission charges / disciplinary ...

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