COMPLIANCE DEPARTMENT CIRCULAR

Transcription

1 Circular No: NSE/COMP/2011/66 COMPLIANCE DEPARTMENT CIRCULAR Download No: NSE/COMP/18438 July 25, 2011 To All Members, Sub: Automation of the process of Advertisement Approval Attention of the members is drawn to Rule (5)(h) of Chapter IV of the Rules of NSEIL, which requires all trading members to seek the permission of the Exchange prior to issuing / publishing advertisements for the solicitation of business. In our endavour to Go Green, to serve the members better and with a view to expediate the approvals for advertisements, the Exchange has introduced a fully automised & simplified process of granting approvals. An elaborate Advertisement module has been introduced on ENIT for submission of requests for approval of advertisements. The detailed procedure to be followed for the same is given in Annexure 1. Members are requested to submit their request for approval through ENIT only with effect from August 01, No physical/hardcopies are to be submitted for approval. Members will be informed of the charges, for the advertisements approved on a monthly basis, through ENIT. Trading Members are advised to ensure that no advertisements are issued without prior approval of the Exchange and also ensure compliance with the Code of Advertisement issued by the Exchange. In case of any assistance required, members are requested to contact following officials. Name of Officials Extension Numbers Ms. Almira D Souza 5112 Ms. Bhagyashri Lele 5111 Board Lines Direct Line Number to For National Stock Exchange of India Limited C N Upadhyay Assistant Vice President Inspection & Compliance Department

2 ANNEXURE 1 PROCEDURE TO APPLY FOR ADVERTISEMENT APPROVAL THROUGH ENIT Step 1 : Login to ENIT with your username and password. The following screen will be displayed. Step 2 : Click on Exchange as shown above. The following screen will be displayed. Step 3 : Click on Advertisement as shown above. The following screen will be displayed. Step 4 : Click on New Advertisement Request as shown above. The following screen will be displayed.

3 Step 5 : Enter the Mode of Advertising. Step 6 : Enter your id where you will receive alerts about the status of your Advertisement Request. Step 7 : Enter the mobile number of the person who can be contacted in case of any query/issues. Step 8 : Check in the box for Permission to debit your Exchange Dues Account for the Advertisement approval charges. Step 9 : Click on Save. The following screen will be displayed. Step 10 : Click Browse and attach the advertisement for approval as shown in the screen below. Note : The size of the attachment should be less than 5 MB. The file formats.pdf/.bmp/.jpg/.jpeg/.doc/.docx/.mpeg/.zip/.tif/.xls/.xlsx. will be accepted by the module. Step 11 : Click on Upload. On completion of upload, the following screen, which will give you your Request Reference Number will be displayed.

4 Step 12 : Click on MIS Advertisement as shown above. The following screen will be displayed. The details of the request entered will be displayed with the Request Status as NEW. The Request has now successfully reached the Exchange Officials and once the same is opened by them, the Request Status will change to UNDER PROCESSING as displayed in the following screen. CASE I : In case the request has been approved by the Exchange, the Request Status will change to APPROVED as displayed in the following screen. Click on the Request No., the following screen will be displayed. Click on Intimation as shown above, to get the Exchange s response. Save the same for your records. CASE II : In case the request has not been approved by the Exchange, the Request Status will change to NOT APPROVED as displayed in the following screen.

5 Click on the Request No., the following screen, which specifies the inadequacies in the advertisement will be displayed. Revise the advertisement with the changes required by the Exchange. In order to resend the revised advertisement to the Exchange, Click on Save, the following screen will be displayed. Click Browse and attach the revised advertisement for approval as shown in the screen below. Click on Upload. The following screen will be displayed. The above screen will confirm the re-submission of the advertisement.