ARG COMPLIANCE MANUAL - Rathi Online

Form No 2Town / Location PotentialProposal for New Franchisee / Remiser SanctionProposed Town / Location: Cluster: Franchsiee / Remiser (strike one) Region:Potential (Associate)Client AcqTown Broking MF TotalLocationTown PopulationNo of NSDL/CDSL Accounts in townBanks (as applicable) HDFC / UTI /Other InformationOur Existing Branches (no)Our Existing Number Franchisees (no)Particulars of the AssociateNameOffice Owned / Rented / ARG Office (Pl mentionname of branch)Office SizeAny previous association as Franchisee withsome other broker*Investment CapabilityQualificationExisting occupationBrokerage Sharing TermsOther InformationTop 10 CompetitorsName of PlayerYes / NoNo of ClientsNo ofDealers3 months6 months12 monthsProposed Launch dateRevenueTo be filled only if the party is currently assocaited with some other brokerBroker nameCurrent Client baseMonthly revenueReason for change from assocaitionwith existing brokerRevenueBroking Distribution TotalOther RemarksSignatures: Franchisee Development Manager Cluster Head Regional DirectorRecommendations of Product Team:Approved by (signature):Note:Franchisee - Associate setting up a full fledged office to source and service clients. Would be registered as Sub broker in BSE & NSE cash and as Authorised Person in NSE F & ORemisers - Assocaites would not set up own office and would operate through ARG branch. Would be registered as Sub broker in BSE & NSE cash and as Authorised Person in NSE F & O or as100