ARG COMPLIANCE MANUAL - Rathi Online

MEMBER-CLIENT AGREEMENT1. Member-Client Agreement to be collected from ALL the clients i.e. both existing and newclients.2. Format for both individual and non-individual clients is common.3. Separate Member-Client Agreement to be collected from clients for BSE, NSE & NSE F&O4. Member-Client Agreement will be provided by the HO on requisition of Branch.Requisition must be given to HO 15 days in advance.5. Date of Agreement must be prior to date of commencement of business with new client.6. Blanks of Agreement to be duly filled.7. Agreement to be duly signed by Branch Manager & Client.8. Signature of Branch Manager & Client to be countersigned by 1 witness each.RISK DISCLOSURE DOCUMENT (RDD)1) New requirement introduced by SEBI/Exchanges w.e.f. 15-10-2003.2) RDD in the prescribed format is required to be collected from ALL the clients i.e. both existingand new clients.3) RDD must be signed by the client acknowledging that he has read and understood the risk/benefit of buying/selling in shares.Duly completed CRF‟s to be sent to HO on a weekly basis.Client Code to be written on CRF before sending the same to HO.Note: Detailed Process available in Operational Manual.112