1. Compliance reports in relation to the gazette of Pakistan statutory notifications by ministry of foreign affairs regarding entities/individuals related to al- Qaeda and Taliban

2. REQUIREMENT OF THE COMPLIANCE  United Nations Security Council (UNSC) through its various Resolutions has directed to apply travel restrictions, arms embargo and to freeze the funds and other financial resources of certain Al-Qaeda and Taliban related individuals and entities.  Complete list uploaded by the UNSC at the following link: http://www.un.org/sc/committees/1267/consolist.shtml http://www.un.org/sc/committees/1267/consolist.shtml  Various Gazette of Pakistan Statutory Notifications issued by Government of Pakistan for the compliance of the UNSC resolutions.  SECP directed to all the Exchanges/CDC/NCCPL/NCEL to submit compulsory fortnightly compliance report.

3. FORTNIGHTLY REPORTING REQUIREMENTS It is advised to all the Exchanges/CDC/NCCPL/ NCEL by the SECP through various previous correspondence, it is required being regulated entities to provide compliance report, even if nil on a fortnightly basis. It is advised to all the Exchanges/CDC/NCCPL/ NCEL by the SECP through various previous correspondence, it is required being regulated entities to provide compliance report, even if nil on a fortnightly basis.

4. Action required by ISE Members Submit one from the following two compliance report to ISE 1.I/we hereby confirm that I/we have examined in detail the consolidated list of the Al-Qaeda and Taliban individual(s)/entity(ies) which are subject to assets freeze, travel ban and arms embargo set out on the United Nations Security Council (UNSC) website at the link http://www.un.org/sc/committees/1267/consolist.shtml and found that none of the individual(s)/entity(ies) mentioned in the list has/have his/their account with me/us. Therefore no action is required on my/our part in this regard. http://www.un.org/sc/committees/1267/consolist.shtml

5. Action required by ISE Members  2.I/we hereby confirm that I/we have examined in detail the consolidated list of the Al-Qaeda and Taliban individual(s)/entity(ise) which are subject to assets freeze, travel ban and arms embargo set out on the United Nations Security Council (UNSC) website at the link http://www.un.org/sc/committees/1267/consolist.s html and found that [ ] number of individual(s)/entity(ies) mentioned in the list has/have his/their account with me/us. According to the SRO issued by the government of Pakistan, all the accounts have been frozen at my/our end and detailed report will be submitted to the Commission manually in this regards on urgent basis. http://www.un.org/sc/committees/1267/consolist.s html http://www.un.org/sc/committees/1267/consolist.s html

6. ISE TO FACILITATE MEMBERS  Time, money and human factor involved  Submission and filing issues  Regulatory actions  Management to facilitate  Electronic reporting  Alerts generated  No cost involved

7. Automation of Compliance Reporting  for making it convenient for the ISE members to ensure the compliance the Exchange has prepared an automated system for the purpose, which is available to the ISE Members on ISE website under the button “Inter ISE Compliance Reporting”. The said system provides submission of fortnightly compliance report in respect of prohibited entities. Through this system the Members can submit their report to the Exchange with a click of mouse for onward submission of compliance report to the SECP.

8. Member -Submit Compliance Report from website -Receive confirmation email. Management -Receive Compliance Report or otherwise and non-submitted Members list - Access Inter-ISE for reports and history data Operations Deptt -Receive Compliance submission email -Access Inter-ISE for reports and history. --Send compliant/non- compliant list to SECP from the system. Database -Compliance submissions are stored in database for record/history Inter-ISE -Send reminder emails to Members on 1 st and 15 th of every month Automatically. -Take defined action on submissions (send emails to Operations, Management & Member, Save to database) Overview

9. Screen Shots

12. Screen Shot – NCB History

15. THANKS