ARG COMPLIANCE MANUAL - Rathi Online

CONTRACT NOTES (CN) & APPOINTMENT OF AUTHORISEDSIGNATORIES1. CN must be issued to ALL the clients within 24 hours.2. Duplicate acknowledged copy of CN to be maintained.3. CN No. must bear running serially no. by software starting with no. 1 everycalendar/financial year.4. PAN of the Client must be printed on the CN mandatory.5. Signature of client must be taken on duplicate copy/counterfoil of CN and Properrecords showing dispatch of CN be maintained.6. CN to be signed by an Authorised Signatory duly authorized with a Board Resolutionto be passed by HO and the same after being signed by the authorized signatory willbe submitted to the exchange for their records and approval and only after the sameis intimated by the HO the Authorised Signatory will start signing and issue contracts.Authorised Signatory would be appointed once the request is made by the branch, namingthe authorized person12