ARG COMPLIANCE MANUAL - Rathi Online

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Compliance Training – Capital MarketCompliance means ensuring conformity andadherence to regulatory acts, rules, procedures, laws,regulations, directives and circulars.1124
Why Comply ?Stand alone benefits:• Prevents internal frauds & losses• Structuring an effective risk management system• Boosts Client confidence• Reduces the risk of disciplinary action• Ensures continuity of business• Increases efficiency in operations• Above all, guarantees peace of mind2125
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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
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ISSUES PERTAINING TO INSURANCE CLAI
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REPORTING OF BULK DEAL / BLOCK DEAL
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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 and 116: B. Code Of Conduct For Prevention O
Page 117 and 118: II. Dealing With Employee Clients1.
Page 119 and 120: B. Monitoring & ReportingI. Cash Tr
Page 121 and 122: III. Branch / Associates Inspection
Page 123: AppendixCash Transaction ReportSusp
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
Page 167 and 168: DEALING WITH INTERMEDIARIES(Contd..
Page 169 and 170: Compliances relating toMembership R
Page 171 and 172: MEMBERSHIP REQUIREMENT• Trading m
Page 173 and 174: 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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