ARG COMPLIANCE MANUAL - Rathi Online

PART II TRANSACTION MONITORING & REPORTINGA. Proposed Internal Alert GenerationFollowing Alerts to be generated as a PMLA Measure :1. Cash Transaction above 1Rs.2. Trades carried out by a client exceeding 25% or more of Gross Exchange Turnover (For AllSegments).3. Continuous buying / selling in a particular scrip by a particular client or Group of clients for morethan 7 trading days.4. Transaction in Dormant/passive accounts amounting to a value Rs. 10 Lakhs or more.5. Transaction of particular client or group of clients, having value more than the total transaction ofprevious 10 days transaction value.6. Transactions in Derivative/options segment executed at price having difference of 25% or morefrom the previous day closing price of underlying value in Cash Segment.7. Off Market Transactions above Rs. 5 Lakhs.8. Third Party pay in / pay out of Funds / Securities.9. Multiple clients having same address.10. Clients having more than 3 DP accounts.11. Same PAN No. entered for more than one trading account.12. Same DP ID mapped to more than one account.Following Alert to be generated for the Employee trades:1. Square off transaction is within 30 days. (Applicable for IPO also)2. Transaction value is Rs. 25 Lakh or more or the number of securities is 25000 or more.Note: Alerts will be generated periodically, randomly & sample basis, as and when deemed to beappropriate across branches.118