ARG COMPLIANCE MANUAL - Rathi Online

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1 Name of the Trading Member(Commodity Broker) of MCXM/s Anand <strong>Rathi</strong> Commodities Ltd2 Name of the Exchange Multi Commodity Exchange of IndiaLtd3 Address & Telephone No. of the Main 4th Floor, Silver Metropolis,Jay Coachoffice of the trading memberCompound, Opp. BimbisarNagar,Goregaon (E), Mumbai - 400 0634 Registration No. of the trading member FMC : MCX/TCM/CORP/ 0525MCX: 108755 Name & Designation of the contactperson in the Main office of the tradingmemberMr. Deepak Kedia – Compliance HeadAdditional details to be displayed in the Branch office1 Address of the Branch office wheretrading terminal is located2 Name & Designation of the person incharge/ managing the branch officeAdditional detail to be displayed in the Sub-broker / Franchise office1 Name of the Sub-broker /Franchise2 Address of the Sub-broker‟s /Franchise office, where tradingterminal of above TM is located10
NOTICE BOARD:NCDEX1 Name of the Trading Member(Commodity Broker) of MCXM/s Anand <strong>Rathi</strong> Commodities Ltd2 Name of the Exchange NATIONAL COMMODITY & DERIVATIVESEXCHANGE LIMITED3 Address & Telephone No. of theMain office of the trading member4th Floor, Silver Metropolis,Jay CoachCompound, Opp. Bimbisar Nagar,Goregaon(E), Mumbai - 400 0634 Registration No. of the tradingmember5 Name & Designation of thecontact person in the Main officeof the trading memberFMC : NCDEX/TCM/CORP/0178NCDEX : 00147Mr. Deepak Kedia – Compliance HeadAdditional details to be displayed in the Branch office1 Address of the Branch officewhere trading terminal is located2 Name & Designation of the personin-charge / managing the branchofficeAdditional detail to be displayed in the Sub-broker / Franchise office1 Name of the Sub-broker /Franchise2 Address of the Sub-broker’s /Franchise office, where tradingterminal of above TM is located11
Page 1 and 2: COMPLIANCEMANUAL
Page 3 and 4: ACTIVITY SCHEDULE FOR BRANCH OPENIN
Page 5 and 6: DISPLAY OF NOTICE BOARDNote: 1. All
Page 7: NOTICE BOARD:BSE1. Name of the Trad
Page 12 and 13: CONTRACT NOTES (CN) & APPOINTMENT O
Page 14: - BSE-AUTHORISATION FOR SIGNING CON
Page 18 and 19: Procedure to be followed by branche
Page 20 and 21: Trading terminals to be located at
Page 22 and 23: NCDEX CTCL ID :- Details to be Prov
Page 24 and 25: IF NOT SATISFIEDCRF PROCEDURE - OFF
Page 26 and 27: FORMAT FOR CRF REQUISITIONDate :To,
Page 28 and 29: DOCUMENTARY REQUIREMENTS[ check the
Page 30 and 31: List of documents approved as Addre
Page 32 and 33: Appropriate UCI category to be allo
Page 34 and 35: Checklist to be confirmed by Branch
Page 36 and 37: Guidelines to be followed before tr
Page 38 and 39: RMS PROCESS FLOWMARGINS AND LIMITSA
Page 40 and 41: AUTO SQUARE OFF - BSE AND NSE CASH
Page 42 and 43: Square Off ReportOtherSegCreditTota
Page 44 and 45: Final Auto Square Off Report - foll
Page 46 and 47: REPORTABLE MARGIN(includes Ledger b
Page 48 and 49: PartyCodeClient AClient AOverall Po
Page 50 and 51: 21. Square off value - square off q
Page 52 and 53: For e.g - Client AParticularsTraded
Page 54 and 55: lient CSYBEANIDR 20-Mar-08 -10 2274
Page 56 and 57: Undertaking to be procured from cli
Page 58 and 59: Under Certificate of PostingDate: _
Page 60 and 61:
5. We further state that believing
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Sr.NoCustomerServiceStandardsLedger
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DEALING WITH CLIENTS1. Branch must
Page 66 and 67:
ISSUES PERTAINING TO INSURANCE CLAI
Page 69 and 70:
REPORTING OF BULK DEAL / BLOCK DEAL
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USEFUL WEB SITESwww.bseindia.comwww
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25262728Statement of accounts Secur
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Code of conduct for Prevention of I
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SECURITIES AND EXCHANGE BOARD OF IN
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(3) Transactions With Stock-Brokers
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(7) INVESTMENT ADVICE : A sub-broke
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45. Following part of clause B in S
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19 Contract notes have been issuedt
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On T+1 day16 Client Direct Payout F
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SEBI-PMSSr.No.Name of thereport/sta
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MCX:Sr.No. Name of the report/state
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k) An undertaking should be submitt
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Final ApprovalJugal Mantri(Group CF
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CHECKLISTFor Individuals/Sole Propr
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For Partnership/CorporatesSUB-BROKE
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Remiser in BSE Cash Segment101
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completion of all the closure forma
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with brokerages to be charged to cl
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PART -I OVER VIEWA. Introduction1.1
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C. Guiding Principles3.1.1. These G
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33. Gender34. Introducer DetailsII.
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IF NOT SATISFIEDProcess FlowSTARTCR
Page 115 and 116:
B. Code Of Conduct For Prevention O
Page 117 and 118:
II. Dealing With Employee Clients1.
Page 119 and 120:
B. Monitoring & ReportingI. Cash Tr
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III. Branch / Associates Inspection
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AppendixCash Transaction ReportSusp
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Why Comply ?Stand alone benefits:
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SCOPE OF COMPLIANCECompliance requi
Page 129 and 130:
Broad Areas CoveredMajor compliance
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REGISTRATION OF CLIENTS• Know You
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REGISTRATION OF CLIENTS (Contd…)A
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REGISTRATION OF CLIENTS (Coned…)S
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REGISTRATION OF CLIENTS (Coned…)S
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REGISTRATION OF CLIENTS (Contd…)U
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DEALING WITH CLIENTS (contd..)Compl
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DEALING WITH CLIENTS (contd..)Funds
Page 145 and 146:
DEALING WITH CLIENTS (contd..)State
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DEALING WITH CLIENTS (contd..)Margi
Page 149 and 150:
DEALING WITH CLIENTS (contd..)Strai
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Compliances relating toTrading requ
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MARGIN TRADING• Maintenance of se
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Financing of securities transaction
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INTERNET TRADING• Client specific
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OFFICE MANAGEMENT (contd..)Complian
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OFFICE MANAGEMENT (contd..)Complian
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Prevention of Money Laundering Act,
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Compliances relating toDealing with
Page 167 and 168:
DEALING WITH INTERMEDIARIES(Contd..
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Compliances relating toMembership R
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MEMBERSHIP REQUIREMENT• Trading m
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MAINTENANCE OF BOOKSAND RECORDS Sec
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MAINTENANCE OF BOOKSAND RECORDS (Co
Page 177 and 178:
Page 179 and 180:
Page 181 and 182:
Compliances relating toCode of Cond
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CODE OF CONDUCT (Contd…)Misconduc
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CODE OF CONDUCT (Contd…)Unprofess
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OBLIGATIONS OF A TRADINGMEMBER (con
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RIGHTS OF THE INSPECTINGOFFICIALS (
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PERIODIC SUBMISSIONSMonthly Submiss
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Trading members to comply with the
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CommoditiesContents1 Maintenance Of
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1.2. Trade FilesTrade file is downl
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(Applicable to Corporate Entity), C
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a) As per Bye-law 8.6.5, the member
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trading system after submission of
Page 205 and 206:
11. HANDLING THE COMMODITIES OF CLI
Page 207 and 208:
13.3 Advertisementa) Member of the
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