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 Date:

The Membership Department

National Stock Exchange of India Ltd.

“Exchange Plaza”,

Bandra-Kurla Complex,

Bandra (E)

Mumbai – 400 051.

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 (number and 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)

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 * / Status
Segment/s enabled and the date/s of enablement / Segment/s
Wholesale Debt /Capital/FO Market segment (as applicable) / Date/s of enablement
Dues pending / Rs.
Investor Grievance cases pending (number and value) / Number:
Rs.
Arbitration cases pending (number and value) / Number:
Rs.
Arbitration award against trading member pending compliance (number and value) / Number:
Rs.
Disciplinary action taken (in last one year) (other than reprimand) / Penalty/Fine/Other action Rs.
Disciplinary action in progress / 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.