Submission of Half-yearly Reporting for usage of Software as a Service (SaaS) based solutions/applications

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National Stock Exchange of India Limited Page 1 of 6 Circular DEPARTMENT: INSPECTION Download Ref No: NSE/INSP/75018 Date: July 02, 2026 Circular Ref. No: 34/2026 To All Trading Members, Sub: Submission of Half-Yearly Reporting for usage of Software as a Services (SaaS) based solutions/applications This is with reference to SEBI Circular No. SEBI/HO/MIRSD2/DOR/CIR/P/2020/221 dated November 03, 2020, on “Advisory for Financial Sector Organizations regarding Software as a Service (SaaS) based solutions.” Trading members availing/utilizing Software as a Services (SaaS) based solutions/applications are required to submit compliance to above-mentioned SEBI circular/advisory on a half-yearly basis. Accordingly, to facilitate the submission for half yearly period January 01, 2026, to June 30, 2026, Exchange has developed a portal for submission of SaaS-related compliance/ information. Trading members are requested to submit the details through the Member Portal using the following path on or before July 31, 2026. Log in to Member Portal → Inspection → SaaS → Submit SaaS Report. In case trading member is not utilizing or availing any SaaS services please select the ‘NO’ option in the SaaS report menu and provide an appropriate comment or remark. The detailed guidelines for submission are provided in the user manual enclosed as Annexure – A. Trading members are requested to take note of Annexure 1.1 of Exchange Circular No. NSE/INSP/73792 dated April 17, 2026, regarding Financial Disincentives for ‘Non-adherence to applicable guidelines on Financial Sector Organizations regarding Software as a Service (SaaS) based solutions’ enclosed as Annexure – B. Trading Members are requested to take note of above and comply. For and on behalf of National Stock Exchange of India Limited Prashant Aier Chief Manager – Inspection Page 2 of 6 In case of any clarifications, Members may contact our below offices: Regional Office E MAIL ID CONTACT NO. Ahmedabad (ARO) inspectionahm@nse.co.in 079- 49008632 Chennai (CRO) inspection_cro@nse.co.in 044- 66309915 / 17 Delhi (DRO) delhi_inspection@nse.co.in 011- 23459127 / 38 / 46 Kolkata (KRO) inspection_kolkata@nse.co.in 033- 40400411 / 405 Mumbai (WRO) compliance_wro@nse.co.in 022-26598200 / 022-61928200 Central Help Desk compliance_assistance@nse.co.in Page 3 of 6 Annexure – A User guide to submit SaaS Report for Member Step 1: Trading Member needs to log in to the member portal then click on Inspection. After clicking on Inspection, user will get the below screen. Step 2: Click on SAAS > Submit SAAS Report for submission. Step 3 : After clicking on “Submit SAAS Report” select the period of submission. If you are availing the SAAS service then Click on “Yes” Page 4 of 6 Step 4: On selecting “ Yes” user will get the below screen. Click on Add row. Step 5: Fill the required details and click on submit. After clicking on submit, user will get the below screen with pop up message “SAAS Submission has been successfully submitted”. Page 5 of 6 In case Member is not availing SaaS Service Step 1: After clicking on “Submit SAAS Report” select the period of submission. If you are not availing the SAAS service than Click on “No” and mention your remark/Comments than click on Submit. After clicking on submit, user will get the below screen with pop message “SAAS Submission has been successfully submitted”. Page 6 of 6 Annexure – B Disciplinary Action For Non-Submission / Late Submission of Software-as-a-Service (SaaS) Report In case of any non-submission/delayed submission by the trading member, disciplinary action by way of levying financial disincentive as prescribed in the Annexure 1.1 of Exchange’s circular No NSE/INSP/73792 dated April 17, 2026, shall be initiated. Details of the same are given below: Details of Contravention Action in case of first instance Action in case of repeat instance Non- adherence to applicable guidelines on Financial Sector Organizations regarding Software as a Service (SaaS) based solutions Tag – Financial Disincentive Advise 2nd time: Warning 3rd time & onwards: ₹ 5,000/-