Regulation 19 - Maintenance of records and documents and furnishing of information - Securities and Exchange Board of India (Custodian) Regulations, 1996

Maintenance of records and documents and furnishing of information. 19. (1) Without prejudice to the provisions of any other law for the time being in force every 2 [ custodian ] shall maintain the following records and documents, namely:─ (a) records containing details of securities 3 [ , goods ] 1 [, assets or documents] received and released on behalf of each client; (b) records containing details of monies received and released on behalf of each client; (c) records containing details of rights or entitlements of each client arising from the securities held on behalf of the client; (d) records containing details of registration of securities in respect of each client; (e) ledger for each client; (f) records containing details of instructions received from and sent to clients; and (g) records of all reports submitted to the Board. (2) Every 2 [ custodian ] shall intimate to the Board the place where the records and documents under sub-regulation (1) are maintained. (3) Every 2 [ custodian ] shall preserve the records and documents maintained under sub-regulation (1) for a minimum period of five years. *************** NOTES:- 1 Inserted by the SEBI (Custodian of Securities) (Amendment) Regulations, 2008, w.e.f. 4-7-2008. 2. Substituted vide NOTIFICATION No. SEBI/LAD-NRO/GN/2019/01 dated 01-01-2019 before it was read as custodian of securities 3. Inserted vide NOTIFICATION No. SEBI/LAD-NRO/GN/2019/01 dated 01-01-2019