The Annual Compliance Calendar Every Stock Broker Should Pin to the Wall
13 Oct 2026 · 1 min read · Jay Kular
From half-yearly internal audits to net worth certificates — a structured way to never miss an exchange or SEBI deadline.
Compliance for a stock broker is not a single event — it is a calendar. Missing even one routine submission can trigger penalties, observations in inspection reports, or worse, restrictions on business.
Why a calendar matters
Exchanges and depositories expect periodic submissions on fixed timelines. A broker that treats compliance as a year-round rhythm, rather than an inspection-time scramble, is consistently better prepared.
The building blocks
- Internal audit by an independent practising professional, as required by the exchanges
- Net worth certificate and financial statements submission
- Periodic reporting of client funds and securities balances
- Cyber security and system audit obligations, where applicable
- Investor grievance redressal and SCORES monitoring
- PMLA obligations: client due diligence, record-keeping and reporting to FIU-IND
How we approach it
We map every obligation to an owner, a due date and a document trail. The result is a living compliance calendar that your team can follow and that an inspector can verify.
Note: Always refer to the latest SEBI and exchange circulars for exact timelines, as these are periodically revised.