ARG COMPLIANCE MANUAL - Rathi Online

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C. Employee TradingIPolicy For Trading In Shares & Commodities By Employees Of Anand Rathi GroupEmployees of Anand Rathi Group their spouses, dependent parents and dependent children wishing to dealin securities are required to abide by the following code of conduct:13. Dealing in securities must be only through Anand Rathi Group. However, exceptions shall beallowed in case of the spouse of a staff member who is working in some other broking house wheresimilar policy is in place. Such exceptions shall be granted only after prior approval is obtainedfrom Compliance Officer at Anand Rathi Group.14. All the trades should be executed through the Dealing Desk at the respective Branch. Dealers at theDealing Desk would send confirmation of all the transactions executed through email on same day.15. Buying and selling shares of the same company within the same settlement shall normally not beallowed.16. Trading in F & O, would be permitted only for the limited purpose of hedging / arbitrage. Tradingin commodities would be allowed through investment in arbitrage – structured products.17. Concerned Business Head / Head of Department should be vigilant about policy implementation byhis/her team members and should inform relevant authorities in case the policy is violated.However, the compliance officer shall have the right to call for relevant information from any staffmember. All the employees would submit a self certification of following this policy to HRdepartment; this would be coordinated by HR department.18. If any employee is found to be breaking this policy, management may take strict disciplinary action,which may include reflecting in the appraisal and even termination of services from the company.19. To transact in securities only after pre clearance from compliance officer in case of transactionvalue is Rs. 25 Lakh or more or the number of securities is 25000 or more. This will include even toIPO‟s. Approval from Compliance shall be valid for a period of one week.20. Hold their investments for a minimum period of 30 days this will include even to IPOs. (From thedate of allotment for IPOs)21. In case the sale of securities is necessitated by personal emergency before the minimum period,obtain confirmation from the compliance officer22. Declare all holdings in securities at the time of joining the organization or for existing persons onintroduction of this code to the Compliance Department.23. Compliance Department would take record of all transactions and holdings of employees in softcopy through DP AC on Quarterly and Annual Basis.24. All employees shall submit the Undertaking for the trading account held by him / her and theirdependents before initiating any trades.116
II. Dealing With Employee Clients1. Employees of the Branch Offices (including Branch Manager) can buy / sell securitiesthrough the Dealing Desk at their respective Branch.2. Client Codes allotted to employees will start with prefix „E……‟3. Validity of Compliance Approval to be ensured for the transaction exceeding the threshold limitspecified above for employee trading.4. Trading Account Undertaking to be submitted to the Compliance Department.117
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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
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Undertaking to be procured from cli
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Under Certificate of PostingDate: _
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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
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 and 106: with brokerages to be charged to cl
Page 107 and 108: PART -I OVER VIEWA. Introduction1.1
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: B. Code Of Conduct For Prevention O
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
Page 157 and 158: INTERNET TRADING• Client specific
Page 159 and 160: OFFICE MANAGEMENT (contd..)Complian
Page 161 and 162: OFFICE MANAGEMENT (contd..)Complian
Page 163 and 164: Prevention of Money Laundering Act,
Page 165 and 166: 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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