Accurate Submissions.
Zero Exchange Penalties
End-to-end pre-verification services for SEBI-regulated entities-ensuring timely, accurate and exchange-compliant regulatory submissions every time.
Overview
Market participants must submit accurate reports to exchanges, depositories and SEBI-on time, every time.
Our compliance experts perform detailed pre-verification of reports before submission-identifying anomalies, ensuring completeness and reducing the risk of exchange observations, monetary penalties and non-monetary sanctions.
Pre-verification of every critical submission
Four structured service areas-each aligned to the specific reporting obligations of SEBI-regulated entities.
Reporting Accuracy Review
Detailed review of all periodic reports before exchange and SEBI submission covering collateral, margins, funds and client-level data.
.svg)
Segregation and Monitoring of Collateral at Client Level.
Margin and MTM reporting validation.
Risk Based Supervision (RBS) data accuracy checks.
Weekly and daily client holding statement review.
Settlement Compliance Verification
End-to-end verification of client fund settlement obligations-ensuring every settlement is accurate, timely and exchange-compliant.
Monthly and quarterly settlement of client funds.
Running account settlement and retention statement review.
SMS/email notification compliance verification.
Ledger balance and pledged securities reconciliation.
.svg)
Margin and MTF Verification
Pre-submission review of all margin and Margin Trading Facility reports-identifying reporting errors before they reach exchange teams.
Daily Margin Trading File (MTR) validation.
Cash and cash equivalent margin adequacy review.
Leverage and exposure limit compliance checks.
Margin statement completeness and timeliness review.
.svg)
AP and UCC Compliance Review
Structured pre-verification of Authorised Person MIS and UCC submission ensuring no categorisation or inspection compliance gap.
AP Inspection MIS Report submission review.
UCC-wise quarterly settlement detail validation.
NRI client UCC categorisation accuracy checks.
AP activity compliance with exchange bye-laws.
Common Violations
Exchange inspection teams frequently cite these violations-most of which are preventable through pre-verification.
Incorrect Reporting
Incorrect collateral, client holding, RBS and fund monitoring data submitted to exchanges-triggering observations and regulatory scrutiny.
Margin Violations
Incorrect margin and MTM loss reporting, delayed margin statements and fund pay-outs in excess of available client balances.
Settlement Violations
Non-settlement on the first Friday/Saturday, delays beyond 3 working days and discrepancies in retention statements against ledger balances.
AP and MTF Violations
Failure to conduct AP inspections, APs engaging in non-permitted activities, incorrect MTR files and inadequate margin collection under MTF.
Why SecMark
Simple to engage. Expert by design. Submission-ready-every report reviewed before it reaches the exchange.
SEBI-Specialist Practice
Deep familiarity with SEBI, NSE and BSE reporting requirements-delivering pre-verification outcomes that are exchange-inspection ready.
Compliance Expert Team
Every report reviewed by compliance professionals with hands-on exchange, depository and SEBI regulatory reporting experience.
Submission-Ready Always
Pre-verification completed within agreed timelines-ensuring your regulatory submissions are reviewed, corrected and ready before every deadline.
For more information you can reach out to us by filling the contact us form / Call: 9869265949
