NSDL UPDATEOctober 2017

Performance SummaryInvestor Accounts 1,62,85,274

Participants 267

Participant Service Centres 27,809

Demat Custody ` 1,58,44,660 Cr.

Settlement ` 2,55,208 Cr.

Companies available for demat 18,870

Instrumentsw Debentures/Bonds 15,467w Securitised Instruments 2,059w Commercial Paper 2,226w Certificates of Deposit 296

Highlights during the month

News Articles

Companies Name Change

Corporate Action Statistics

Performance Summary

Securities Admitted For Dematerialisation

Calendar of Events

2

News ArticlesInternal and Concurrent Audit for depository operations

As per Bye Law 10.3, each Participant is required to have its depository operations audited by a qualified Chartered Accountant or a Company Secretary or a Cost and Management Accountant holding a Certificate of Practice. Such audit should be conducted twice a year and a copy of the report should be submitted to NSDL.

NSDL has prescribed guidelines related to scope of the audit and format of the audit report. The audit report format has been modified vide Circular No. NSDL/POLICY/2017/0053 dated September 5, 2017 (available on NSDL website www.nsdl.co.in). Participants are requested to take note of the same.

Facility for Bulk Update of Aadhaar in Demat AccountsParticipants are required to record / update Aadhaar number for each account holder in NSDL DPM. In order to facilitate bulk update of Aadhaar in demat accounts, a new facility has been made available. Participants may now upload the client details including Aadhaar as per prescribed format (in CSV file) on NSDL intranet site i.e. i-Assist at option Bulk Updation of Aadhaar in Individuals Demat Accounts. NSDL shall update Aadhaar in respect of given list of demat accounts in NSDL depository system. Participants should ensure that Aadhaar is validated with UIDAI as per prescribed procedure and keep such verification on record before bulk upload.

After update in the DPM, Participants must send a communication via letter / email / Client Master Report generated from the DPM or client modification letter generated from DPM or back office or any other mode which the Participant may deem fit, to all such Clients informing about changes carried out in their demat account.

This was informed to Participants vide Circular No. NSDL/POLICY/2017/0054 dated September 12, 2017.

Extension of time for submission of networth certificate and/or audited financial statementsAs per Bye law 6.3.6 (i) Participants which are required to maintain a minimum networth are required to submit a networth certificate in the prescribed format. Further, as per Bye Law 10.2.1, all Participants are required to submit every year, a copy of audited financial statements within six months from the end of the Participants financial year. Accordingly, the same was required to be submitted by September 30, 2017 for financial year 2016-17.

Based on the representations received from Participants, the last date for submission of networth certificate / audited financial statements for the financial year 2016-17 has been extended to October 31, 2017. All Participants are requested to take note of the same.

This was informed to Participants vide Circular No. NSDL/POLICY/2017/0055 dated September 25, 2017.

SEBI Circular on Integration of broking activities in Equity Markets and Commodity Derivatives Markets under single entitySEBI vide circular no. SEBI/HO/MIRSD/MIRSD1/CIR/P/2017/104 dated September 21, 2017 has informed regarding integration of broking activities in Equity Markets and Commodity Derivatives Markets under single entity. Accordingly, a stock broker can deal in commodity derivatives and other securities under a single entity, thereby facilitating ease of doing business.

This was informed to Participants vide Circular No. NSDL/POLICY/2017/0056 dated September 26, 2017 available on NSDL website www.nsdl.co.in.

Risk based supervision of ParticipantsAs Participants are aware, SEBI had formulated a Risk Assessment Template (RAT) for risk assessment of Participants, in which information needs to be provided to SEBI on half-yearly basis. Accordingly, certain information is required to be provided by Participants in Risk Assessment template on half-yearly basis to depositories.

In this context, NSDL has developed a facility for screen based submission of RAT through e-PASS platform. Accordingly, Participants can submit RAT for half year ended September 30, 2017 through screen based module on or before October 23, 2017. This was informed to Participants vide Circular No. NSDL/POLICY/2017/0057 dated September 29, 2017 available on NSDL website www.nsdl.co.in.

Activation of New Participant(s)Following Participant has been admitted as Participant of NSDL and made operational during September 2017 -

Sr. No. Depository Participant (DP) Name DP ID Location1 Aum Capital Market Private Limited IN304211 Kolkata, West Bengal

This takes the total number of operational Participants to 267 and the total number of operational DPM set-ups to 353.

Subscription to SPEED-eDuring September 2017, two more Participants have subscribed to the SPEED-e facility namelyCiti Bank N.A. (DP ID IN300685) and

DP TradeKING Private Limited (DP ID IN304182)

Clients of the above mentioned Participants can now avail the facility of submitting various instructions through SPEED-e facility.This takes the total number of Participants which have subscribed to SPEED-e to 196.

3

Training Programme for Participants:

NISM / NSDL-DO training / certification programmes for Participants To facilitate officials of Participants to prepare and appear for NISM-Series VI Depository Operations Certification Examination (DOCE), NSDL conducted a training programme at New Delhi in September 2017.

CPE Training Programme for Participants NSDL, an approved NISM Accredited Continuing Professional Education (CPE) Provider offers CPE training programmes in different modules like Depository Operations, Mutual Fund Distributors, Currency Derivatives, Equity Derivatives, Securities Operations & Risk Management etc. for eligible associated persons. In September 2017, NSDL conducted seven such training programmes at Ahmedabad, Chennai, Jaipur, Kolkata, Mumbai and New Delhi.

Training Programme for Issuers and Registrar & Transfer Agents NSDL conducted a two day training programme on NSDL operations for staff of Issuers and Registrar & Transfer Agents at Mumbai in September 2017.

Investor Education initiatives undertaken by NSDL

Investor Awareness Programmes In order to reach out to investors that are spread across the country to apprise them about the facilities available in NSDL depository system and educate them about financial markets, NSDL conducts various Programmes with Participants, Housing Societies, Institutions like SEBI, NSE, Corporates, Industry bodies like FICCI, CII etc. and also participates in various events. During September 2017, NSDL conducted / participated in 27 such programmes / events which were attended by more than 2,200 investors. Details as mentioned below:

Sr. No. Particulars1 Joint Awareness Programmes with Participants No. of Programmes

Acumen Capital Market (India) Limited 3ICICI Bank Limited 3Kotak Securities Limited 3Ventura Securities Limited 3YES Bank Limited 3BgSE Financials Limited 2Arihant Capital Markets Limited 1Jhaveri Securities Limited 1Master Capital Services Limited 1

Total Programmes 20

2 Joint Awareness Programmes with other Institutions No. of ProgrammesSecurities and Exchange Board of India 2

Total Programmes 2

3 Participation in Events No. of ProgrammesCAPAM 2017 organised by The Federation of Indian Chambers of Commerce and Industry (FICCI) at Mumbai 1Digital India - Disruptions, Security, New Technology Challenges and Our State of Readiness organised by Forum For Inclusive Financial System (FFIFS) at Mumbai 1

Total Programmes 2

4 Workshop for Colleges No. of ProgrammesBharatiya Vidya Bhavans Hazarimal Somani College, Girgaum, Mumbai 1

Total Programmes 1

5 Training Programmes for Institutes No. of ProgrammesFor officers of Indian Corporate Law Service 1

Total Programmes 1

6 Awareness Programmes for Housing Society No. of Programmes

New Dindoshi Ekdhant Co-operative Housing Society Limited, Mumbai 1

Total Programmes 1

4

List of Companies that have changed Names(During September 2017)

Sr. No. DescriptionDuring September 2017 For F.Y. 2017 - 18 (Upto September 2017)

No. of Allottees No. of Securities No. of Allottees No. of Securities1 Equity Shares 4,360,054 17,755,187,866 10,604,882 72,732,318,366 2 Preference Shares 61 193,183,831 158,138 7,782,619,407 3 Bonds 1,822 94,444,705 32,748 7,392,743,912 4 Commercial Papers 1,038 4,761,155 5,839 24,356,311 5 Certificates of Deposit 150 3,337,000 757 17,470,900 6 Securitised Instruments 74 5,251,302,296 588 31,851,885,172 7 Mutual Fund Units 42,733 210,892,300 305,994 1,516,685,563 8 Government Securities 78 4,639 23,830 739,001 9 Warrants 27 5,752,730 116 155,506,133 10 Mutual Fund Units (Trase) 74,718 361,188,526 408,883 2,245,639,159 11 Infrastructure Investment Trust 0 0 7,943 873,904,448

Total 4,480,755 23,880,055,048 11,549,718 124,593,868,372

Corporate Action Statistics

Sr. No. Old Name New Name

1 Doit Media And Entertainment (India) Private Limited Doit Creative Consumer Ventures (India) Private Limited2 Doit Hotels And Resorts (India) Private Limited Doit Hospitality (India)Private Limited3 Utkal Soap Products Limited Aspira Pathlab & Diagnostics Limited4 Agri Business Finance Limited Nabsamruddhi Finance