ARG COMPLIANCE MANUAL - Rathi Online

B. Monitoring & ReportingI. Cash TransactionResponsibilityAll the Branches / business associates shall report all Cash Transaction to Compliance Departmentimmediately on observation.On basis of the report generated as above / on basis of continuous monitoring, Compliance department hasto furnish the information of the cash transactions of a month to the Principal Officer by the 7 workingdays of the succeeding month.Compliance Department shall accumulate the information received from Branches / business associates andshall furnish the same to Principal Officer in accordance with the requirement of SEBI circular, and shallprepare the required file and complete the procedures as prescribe in PMLA Act / PMLA Rule / thecirculars in that regards.Due DateThe Principal Officer has to furnish the information of the cash transactions of a month to Director, FIU-IND by the15 th day of the succeeding month.FormatCash Transaction Reports in manual format consists of following forms:FormCash Transaction Report for an Business AssociatesAnnexure A- Individual Detail Sheet for an Business AssociatesAnnexure B- Legal Person/ Entity Detail Sheet for an BusinessAssociates (Non Individual)InformationDetails of account and cashtransactionsIdentification details of individualIdentification details of legalperson /entityThe above forms are given in the Appendix119