ARG COMPLIANCE MANUAL - Rathi Online

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REGISTRATION OF CLIENTS (Coned…)Salient features of Member Constituent Agreement– Printed on a non-judicial stamp paper of appropriatevalue– To be signed by both the TM and the client & dated– To be witnessed– Must contain clauses prescribed by SEBI / NSE fromtime to time11134
REGISTRATION OF CLIENTS (Coned…)Salient features of Member Constituent Agreement (Coned…)– Additional clauses may be included, but shall not contradict withRules, Byelaws, Regulations– Requirements of MODEL TRIPARTITE AGREEMENT madeeffective from 01-04-2005– Trading Member and FI / FII clients may at their discretion decideabout the requirement of entering into Member ConstituentAgreement12135
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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
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25262728Statement of accounts Secur
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Code of conduct for Prevention of I
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SECURITIES AND EXCHANGE BOARD OF IN
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(3) Transactions With Stock-Brokers
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(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 and 132: REGISTRATION OF CLIENTS• Know You
Page 133: REGISTRATION OF CLIENTS (Contd…)A
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
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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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