ARG COMPLIANCE MANUAL - Rathi Online

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MANUAL FOR PREVENTION OF MONEY LAUNDERINGACT 2002 (PMLA)INDEXSr. No. Particulars Page No.Part I OVER VIEW 2-5A Introduction 2B Back Ground 3C Guiding Principles 4 -5Part II DETAILED GUIDELINES 6-13A Customer Due DiligenceI. One Pager Information 6II. Know Your Client 7III. Dealing With Clients 10BCode of conduct for Prevention of Insider Trading for ARGEmployees (as per SEBI guidelines)11C Employee TradingI. Policy for Trading in Shares & Commodities byEmployees of Anand Rathi Group12II. Dealing With Employee Clients 13Part III TRANSACTION MONITORING & REPORTING 14-17A Internal Report Generation 14B Monitoring & ReportingI. Cash Transaction 15II. Suspicious Transaction 16III. Branch / Associates Inspection 17Appendix 18106
PART -I OVER VIEWA. Introduction1.1. The Guidelines as outlined below provides a general background on the subject of moneylaundering and terrorist financing summarizes the main provisions of the applicable anti-moneylaundering and anti-terrorist financing legislation in India and provides guidance on the practicalimplications of the Act. The Guidelines also sets out the steps that Branches / Business Associatesand any of its representatives, should implement to discourage and identify any money launderingor terrorist financing activities. The relevance and usefulness of these Guidelines will be kept underreview and it may be necessary to carryout amendments from time to time.1.2. These Guidelines are intended for use primarily by our company and its Branches / BusinessAssociates. While it is recognized that a “one-size- fits-all” approach may not be appropriate for thesecurities industry in India, each Branch / Business Associates should consider the specific natureof its business, organizational structure, type of customers and transactions, etc. when implementingthe suggested measures and procedures to ensure that they are effectively applied. The overridingprinciple is that they should be able to satisfy themselves that the measures taken by them areadequate, appropriate and follow the spirit of these measures and the requirements as enshrined inthe Prevention of Money Laundering Act, 2002. (PMLA)107
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COMPLIANCEMANUAL
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ACTIVITY SCHEDULE FOR BRANCH OPENIN
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DISPLAY OF NOTICE BOARDNote: 1. All
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NOTICE BOARD:BSE1. Name of the Trad
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1 Name of the Trading Member(Commod
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CONTRACT NOTES (CN) & APPOINTMENT O
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- BSE-AUTHORISATION FOR SIGNING CON
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Procedure to be followed by branche
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Trading terminals to be located at
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NCDEX CTCL ID :- Details to be Prov
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IF NOT SATISFIEDCRF PROCEDURE - OFF
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FORMAT FOR CRF REQUISITIONDate :To,
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DOCUMENTARY REQUIREMENTS[ check the
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List of documents approved as Addre
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Appropriate UCI category to be allo
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Checklist to be confirmed by Branch
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Guidelines to be followed before tr
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RMS PROCESS FLOWMARGINS AND LIMITSA
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AUTO SQUARE OFF - BSE AND NSE CASH
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Square Off ReportOtherSegCreditTota
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Final Auto Square Off Report - foll
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REPORTABLE MARGIN(includes Ledger b
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PartyCodeClient AClient AOverall Po
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21. Square off value - square off q
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For e.g - Client AParticularsTraded
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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
Page 62 and 63: Sr.NoCustomerServiceStandardsLedger
Page 64 and 65: DEALING WITH CLIENTS1. Branch must
Page 66 and 67: ISSUES PERTAINING TO INSURANCE CLAI
Page 69 and 70: REPORTING OF BULK DEAL / BLOCK DEAL
Page 71 and 72: USEFUL WEB SITESwww.bseindia.comwww
Page 73 and 74: 25262728Statement of accounts Secur
Page 75 and 76: Code of conduct for Prevention of I
Page 77 and 78: SECURITIES AND EXCHANGE BOARD OF IN
Page 79 and 80: (3) Transactions With Stock-Brokers
Page 81 and 82: (7) INVESTMENT ADVICE : A sub-broke
Page 83 and 84: 45. Following part of clause B in S
Page 85 and 86: 19 Contract notes have been issuedt
Page 87 and 88: On T+1 day16 Client Direct Payout F
Page 89 and 90: SEBI-PMSSr.No.Name of thereport/sta
Page 91 and 92: MCX:Sr.No. Name of the report/state
Page 93 and 94: k) An undertaking should be submitt
Page 95 and 96: Final ApprovalJugal Mantri(Group CF
Page 97 and 98: CHECKLISTFor Individuals/Sole Propr
Page 99 and 100: For Partnership/CorporatesSUB-BROKE
Page 101 and 102: Remiser in BSE Cash Segment101
Page 103 and 104: completion of all the closure forma
Page 105: with brokerages to be charged to cl
Page 109 and 110: C. Guiding Principles3.1.1. These G
Page 111 and 112: 33. Gender34. Introducer DetailsII.
Page 113 and 114: 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
Page 121 and 122: III. Branch / Associates Inspection
Page 123 and 124: AppendixCash Transaction ReportSusp
Page 125 and 126: Why Comply ?Stand alone benefits:
Page 127 and 128: SCOPE OF COMPLIANCECompliance requi
Page 129 and 130: Broad Areas CoveredMajor compliance
Page 131 and 132: REGISTRATION OF CLIENTS• Know You
Page 133 and 134: REGISTRATION OF CLIENTS (Contd…)A
Page 135 and 136: REGISTRATION OF CLIENTS (Coned…)S
Page 137 and 138: REGISTRATION OF CLIENTS (Coned…)S
Page 139 and 140: REGISTRATION OF CLIENTS (Contd…)U
Page 141 and 142: DEALING WITH CLIENTS (contd..)Compl
Page 143 and 144: DEALING WITH CLIENTS (contd..)Funds
Page 145 and 146: DEALING WITH CLIENTS (contd..)State
Page 147 and 148: DEALING WITH CLIENTS (contd..)Margi
Page 149 and 150: DEALING WITH CLIENTS (contd..)Strai
Page 151 and 152: Compliances relating toTrading requ
Page 153 and 154: MARGIN TRADING• Maintenance of se
Page 155 and 156: 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
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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
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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
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11. HANDLING THE COMMODITIES OF CLI
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13.3 Advertisementa) Member of the
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