ARG COMPLIANCE MANUAL - Rathi Online

III. Branch / Associates InspectionAll Operational Managers will visit their Branches / BusinessAssociates periodically on surprise basis andwill verify the business activity and ensure the adherence of the checklist.All Operational Managers will than forward the report for the discrepancies found if any to the complianceDepartment.Branch / Business Associate Audit Check listActiveSegmentsSr No Particular Remarks Complied(Y/N)1 Registered2 Certificates3 Notice Board4 Terminals5 AgreementIncase of registered Subbrokers6 KYC7 CRF8 Missing CRF9 PAN10 Authorised SignatoryCheque111213141516171819CashSecuritiesPaymentF & O TradingComplaint RegisterPay-in of FundPay-Out of FundF & OBranch registered under the Shops &Establishment Act/ Local AuthorityRelevant SEBI & FMC registrationcertificates displayed at branchRelevant Notice Board displayed at Branch(BSE/NSE/MCX/NCDEX)All terminals alloted are used by relevantemployee dealers registered in their namewith their NCFM having validity for next 3monthsClient agreements executed;maintained &intimated to HO for all clients andconfirmed by HOTripartite agreements executedTrack of all clients details maintained insoftcopyTotal Clients = Total CRF; NO CRF noUCC;One client one codeNew CRF collected from existing client asper HO listPAN copy of clients maintained afterverification with original card & income taxsite and screenprint attached with CRFAS appointed in Branch and intimated toHO in relevant format for ExchangeSubmissionPayment must be received / paid incheque in the name of BrokerCompany/Client not in the name of anyother company/partyNo broker shall receive / pay cash to theclientsNot to accept / issue third party securitiesNot to issue / recd payment from thirdpartyTrading in Ban period – Rs 5000 Penaltycharges by NSE (Increase in open positionover 95%)RMS alertsBranch/Sub-Broker must maintain - Clientcomplaint Register.To send it bimonthly toCompliance Dept– HOClient should issue us a cheque same dayof Purchases of Shares ( Trading Day)Branch should issue cheque on T+2 to theClientsUpfront Margin must be collected by thebranch before executing the sauda in caseof F & O Segment121Reason forNonCompliance