ARG COMPLIANCE MANUAL - Rathi Online

(c)(d)(e)(f)Maintenance of records;Compliance with relevant statutory and regulatory requirements;Co-operation with the relevant law enforcement authorities, including the timely disclosureof information; andRole of internal audit or compliance function to ensure compliance with policies,procedures, and controls relating to prevention of money laundering and terrorist financing,including the testing of the system for detecting suspected money laundering transactions,evaluating and checking the adequacy of exception reports generated on large and/orirregular transactions, the quality of reporting of suspicious transactions and the level ofawareness of front line staff of their responsibilities in this regard.PART II DETAILED GUIDELINESACustomer Due DiligenceI. One Pager Information3. Branch to obtain information of client in one pager form and sent to HO through mail/fax, etc.4. Client Code will be mapped by HO to the trading/back office system for the purpose of executingtrades/generation of contracts.5. Client Registration Form (CRF) be collected from the client as per SEBI/Exchange requirement onthe same day.6. No CRF No UCC allotment18. Branch code19. Client type20. Party codeList of Mandatory Fields in Pradnya (Back office Software).21. Name (Long Name and Short Name)22. Residential Address (Permanent / correspondence) (City & State, Country, Pin Code)23. PAN Card No24. Sub broker code,25. Trader code26. Client Status27. Region code28. Area code29. Dealer code30. Details of Bank Account (Bank Name, Address, Account No., Type of Account)31. Details of Depository Participant32. Date of Birth110