Enhanced
Supervision
 Objectives of Enhanced Supervision:
The overall objectives of Enhanced Supervision are to protect the interest of investors and to promote the
development of stock exchange and to regulate the activities of stock market. The objectives of Enhanced
Supervision are:
 1. To regulate the activities of stock exchange.
 2. To protect the rights of investors and ensuring safety to their investment.
 3. To prevent fraudulent and malpractices by having balance between self regulation of business and its
statutory regulations.
 4. To regulate and develop a code of conduct for intermediaries such as brokers etc.
 CAPITAL ENTRY
 Capital Entry details in case of BSE received in ICCL login -- Collateral --MP report file.
 Base Capital details in case of NSE received in CL01, MG05 file or Margin File.
 Capital Entry for details in case of MCX Received in Obligation file.
 This file also gives details of Cash, FD, BG , Securities & Free Balance available.
 The Base Capital, Cash, FD, & BG set only one time, If any change done.
then only have to change values.
 Free Balance values changes on daily basis.
 Securities value get from the same file(MG05 Or Margin), which change on daily.
 All Report Export in CSV format for save daily basis value get change.
Capital Entry
 SETTINGS
 All Exchanges Client Bank code update for balance.
 Settelment Bank update in client bank.
 GRP1 Exchanges list, Segment mapped under GRP1.
 GRP2 Exchanges list, Segment mapped under GRP2.
 GRP1 Pledge list, details for pledge Ben update for securities.
 GRP1 Beneficiary list, details for all Ben update.
 GRP2 Pledge list, details for pledge Ben update for securities.
 Haircut File Upload according to given pledge details.
 Format provided for Haircut file to import accordingly.
Setting
Process Screen for Capital Entry done, Bank balances & Securities, also it shows log for earlier process done as per group
selection.
Different types of report generated as per given document, also the Enhanced supervision Cirular & Formulated excel for day to
day woking with details fetch from row data file for reference.
Click on Enhanced supervision Excel zip file get download in that two file available Sebi Row & Formulated .
Copy Enhanced Supervision row data in Sebi Row excel.
Based on copied data in row excel, get the formulated enhanced supervision for verify data with software generated report .
All upload file given format
All Uploading file format
Bank Balance file with group wise selection.
Client Bank Balance report
Report for Credit Client
Credit Client Balances as per mention format
Debit Client Balances as per mention format
Capital Entry report generate
Capital Entry Balances as per mention format
Enhanced Supervision Row Table Report to verify the record
Enhanced Supervision Row Table Report to verify the record
Enhanced Supervision Report
Enhanced Supervision Generated Report
Scrip Details for information for given pledge with haircut file upload.
Pledge Report
Pledge Report Client Wise.
E(value of
Own
(G)
(H) = |G| (G)(if
Securities
if(|G|<|D|) - |D|
positive)
with
exchange)
P
F (Non
I=P(Propriet
(A) If
funded
(G+E+F) G
ory
Positive
BG)
if positive
Margin)
0
0
0
0
0
11323713
0.5
1047263.
3100410
54
63231929.
0
52
0
0
0
329207.23 0
0
0
0
B(Colletra
A(Client
C(Client
D(Client
l Deposit)
G = (A+B)
Exchange bank
Credit
Debit
BG 50%
-C
Funds)
balance )
balance)
Funded
Grp1
1750754
0
3.28
BSE_CASH 0
CD_NSE
0
0
17750000
0
0
167500
0
00
200000
0
0
0
0
0
B(Colletral MC
C(Client
JDeposit) (Debit MF (Free
Credit
Differenc
BG 50% Margin Colletral)
balance )
e
Funded )
17507543.
0
0
28
1132371
0
17750000
30.5
1047263.
0
3100410
54
0
0
0
0
0
0
29757
0
1.67
0
NSE_CASH 0
41250000
20045196
7.8
18352785
0
3.1
0
0
0
187500
2354.34 0
00
0
2004519
12047
41250000
0
67.8
932.21
0
NSE_FNO 0
11923658 55030716
3
.18
16061716.
0
53
0
0
0
0
0
5503071 11923658 10566
0
6.18
3
6247.3
0
1750754 18133699 36976707
26315070
1709225
170922541. 0
3.28
3
8.1
6.3
41.8
8
0
0
375000
2354.34 0
00
Total
Enhanced Supervision Report in Excel with Formulation :
0
0
17507543. 3697670 18133699 11801
0
28
78.1
3
1751.2
6332524
1.84
FORMULATED
SEBI95.xls
Formulated Enhanced Supervision export in excel provided in report menu download to use by copying data from row table &
get final report level calulation for verification with Enhanced Supervision actual report.