ARG COMPLIANCE MANUAL - Rathi Online

More documents

Recommendations

Info

REGISTRATION OF CLIENTS (Contd…)Salient features of Know Your Client Forms– Client information / Status– Bank and Depository Account details– Financial details of the constituent– Investment/ Trading experience– References– Financial documents (for Non Individual Constituents)9132
REGISTRATION OF CLIENTS (Contd…)Attachments to KYC form− Photograph− Proof of identity and address− Board Resolution from corporate clients permitting trading inderivative products−KYC to be obtained duly signed by all the clients10133
Page 1 and 2:
COMPLIANCEMANUAL
Page 3 and 4:
ACTIVITY SCHEDULE FOR BRANCH OPENIN
Page 5 and 6:
DISPLAY OF NOTICE BOARDNote: 1. All
Page 7:
NOTICE BOARD:BSE1. Name of the Trad
Page 10 and 11:
1 Name of the Trading Member(Commod
Page 12 and 13:
CONTRACT NOTES (CN) & APPOINTMENT O
Page 14:
- BSE-AUTHORISATION FOR SIGNING CON
Page 18 and 19:
Procedure to be followed by branche
Page 20 and 21:
Trading terminals to be located at
Page 22 and 23:
NCDEX CTCL ID :- Details to be Prov
Page 24 and 25:
IF NOT SATISFIEDCRF PROCEDURE - OFF
Page 26 and 27:
FORMAT FOR CRF REQUISITIONDate :To,
Page 28 and 29:
DOCUMENTARY REQUIREMENTS[ check the
Page 30 and 31:
List of documents approved as Addre
Page 32 and 33:
Appropriate UCI category to be allo
Page 34 and 35:
Checklist to be confirmed by Branch
Page 36 and 37:
Guidelines to be followed before tr
Page 38 and 39:
RMS PROCESS FLOWMARGINS AND LIMITSA
Page 40 and 41:
AUTO SQUARE OFF - BSE AND NSE CASH
Page 42 and 43:
Square Off ReportOtherSegCreditTota
Page 44 and 45:
Final Auto Square Off Report - foll
Page 46 and 47:
REPORTABLE MARGIN(includes Ledger b
Page 48 and 49:
PartyCodeClient AClient AOverall Po
Page 50 and 51:
21. Square off value - square off q
Page 52 and 53:
For e.g - Client AParticularsTraded
Page 54 and 55:
lient CSYBEANIDR 20-Mar-08 -10 2274
Page 56 and 57:
Undertaking to be procured from cli
Page 58 and 59:
Under Certificate of PostingDate: _
Page 60 and 61:
5. We further state that believing
Page 62 and 63:
Sr.NoCustomerServiceStandardsLedger
Page 64 and 65:
DEALING WITH CLIENTS1. Branch must
Page 66 and 67:
ISSUES PERTAINING TO INSURANCE CLAI
Page 69 and 70:
REPORTING OF BULK DEAL / BLOCK DEAL
Page 71 and 72:
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 and 124: AppendixCash Transaction ReportSusp
Page 125 and 126: Why Comply ?Stand alone benefits:
Page 127 and 128: SCOPE OF COMPLIANCECompliance requi
Page 129 and 130: Broad Areas CoveredMajor compliance
Page 131: REGISTRATION OF CLIENTS• Know You
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
Page 175 and 176: MAINTENANCE OF BOOKSAND RECORDS (Co
Page 181 and 182: Compliances relating toCode of Cond
Page 183 and 184:
CODE OF CONDUCT (Contd…)Misconduc
Page 185 and 186:
CODE OF CONDUCT (Contd…)Unprofess
Page 187 and 188:
OBLIGATIONS OF A TRADINGMEMBER (con
Page 189 and 190:
RIGHTS OF THE INSPECTINGOFFICIALS (
Page 191 and 192:
PERIODIC SUBMISSIONSMonthly Submiss
Page 193 and 194:
Trading members to comply with the
Page 195 and 196:
CommoditiesContents1 Maintenance Of
Page 197 and 198:
1.2. Trade FilesTrade file is downl
Page 199 and 200:
(Applicable to Corporate Entity), C
Page 201 and 202:
a) As per Bye-law 8.6.5, the member
Page 203 and 204:
trading system after submission of
Page 205 and 206:
11. HANDLING THE COMMODITIES OF CLI
Page 207 and 208:
13.3 Advertisementa) Member of the
show all

ARG COMPLIANCE MANUAL - Rathi Online

Create successful ePaper yourself

Delete template?

Save as template?