ARG COMPLIANCE MANUAL - Rathi Online

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- BSE-AUTHORISATION FOR SIGNING CONTRACT NOTES, BILLS ETC.Pursuant to the resolution passed by the Board of Directors of Anand <strong>Rathi</strong> Share and Stock BrokersLtd . at their meeting held on 22 nd Mar 2010 the undersigned persons are authorized to modify, addto and delete the list of authorized signatories for signing and issuing Contract Notes and Bills.APPOINTMENT OF AUTHORISED SIGNATORIESUnder the authority delegated by the said resolution we hereby authorize the following persons toSEVERALLY deal, sign, and execute the Agreements, Bills, Contract Notes, Debit Notes etc. onbehalf of the Company, with effect from (date)_______________ in respect of transactionsexecuted on the Bombay Stock Exchange Ltd. whereat the Company is a member:Branch Name Authorised Persons Specimen Signatures.....................Branch .......................... .................................REMOVAL OF AUTHORISED SIGNATORIES.....................Branch .......................... .................................For Anand <strong>Rathi</strong> Share and Stock Brokers LtdDeepak Kedia/ Narendra Jain.Authorised Signatories14
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 17 and 18: ALLOTMENT OF TERMINAL ID1. Persons
Page 19 and 20: Connectivity LayoutONLINEBSE NSE MC
Page 21 and 22: NSE CTCL ID :- Details to be provid
Page 23 and 24: CLIENT INFORMATION SHEET (ONE PAGER
Page 25 and 26: CRF PROCEDURE1. CRF will be dispatc
Page 27 and 28: KYC CHECKLIST1. The AOT shall check
Page 29 and 30: For Corporate accounts:Copy of PAN
Page 31 and 32: UCC PROCEDURE & CLIENT CATEGORY1. N
Page 33 and 34: SHIFTING & CLOSURE OF CLIENTNote:1.
Page 35 and 36: ACCOUNT CLOSURENote: 1. Incase a cl
Page 37 and 38: Branches failing to comply to these
Page 39 and 40: o Limit consumption of online clien
Page 41 and 42: AUTO SQUARE OFF - FUTURE & OPTION S
Page 43 and 44: 2. symbol - scrip name3. Inst_type
Page 45 and 46: Criteria & Condition4. Consideratio
Page 47 and 48: PartyCodeInformation to the branche
Page 49 and 50: 31. total margin required - col. 13
Page 51 and 52: B.3 AUTO SQUARE OFF - COMMODITY SEG
Page 53 and 54: 10. total margin required - total m
Page 55 and 56: GRIEVANCE REDRESSAL MECHANISMAll Ex
Page 57 and 58: Client Code : _______PERFORMA LETTE
Page 59 and 60: By Regd. Post A/DDate: __ / __ / 10
Page 61 and 62: OFFICE MANAGEMENTSr.NoCustomerServi
Page 63 and 64: Sr.NoCustomerServiceStandardsMonthl
Page 65 and 66:
BANK ACCOUNTS1. As per SEBI, all op
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TRADE MODIFICATION UNDERTAKINGAnnex
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INCREASED POSITION IN F&O MARKETWID
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BRANCH AUDIT CHECKLISTInaugarationd
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23 August 2006Policy for Trading in
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For Dealers:To intimate the complia
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(b)A stock-broker shall not furnish
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(2) A. Issue of Purchase or Sale No
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D. SUB-BROKERS VIS-A-VIS REGULATORY
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Compliance Deadlines :BSE:Sr.No.Nam
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NSE:Sr.Name of theDue Dates Respons
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39 CTCL Facility Prior Approval CTC
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NCDEX:Sr.No. Name of the report/sta
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SUB-BROKER REMISER AND AUTHORISED P
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.ONE PAGERDate:_____________1)Segme
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Note:01 Cancellation of Authorised
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2 Form-B (Original) in the prescrib
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Form No 2Town / Location PotentialP
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Memorandum of Understanding - Sub B
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ambience standardse) Adherence to c
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MANUAL FOR PREVENTION OF MONEY LAUN
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B. Back Ground:2.1. The Prevention
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(c)(d)(e)(f)Maintenance of records;
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MEMBER-CLIENT AGREEMENT1. Member-Cl
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III. Dealing With Clients1. Branch
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C. Employee TradingIPolicy For Trad
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PART II TRANSACTION MONITORING & RE
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II. Suspicious TransactionResponsib
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202122232425262728F & OContract Not
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Compliance Training - Capital Marke
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Why Comply? (Contd…)Larger benefi
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SCOPE OF COMPLIANCE (Contd…)NSEIL
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Compliances relating toDealing with
Page 132 and 133:
REGISTRATION OF CLIENTS (Contd…)S
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REGISTRATION OF CLIENTS (Coned…)S
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Page 138 and 139:
Page 140 and 141:
DEALING WITH CLIENTSCompliance rela
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Electronic issue of Contract notes
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DEALING WITH CLIENTS (contd..)Funds
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DEALING WITH CLIENTS (contd..)Margi
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DEALING WITH CLIENTS (contd..)Broke
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DEALING WITH CLIENTS (contd..)Other
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MARGIN TRADING• Prior permission
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MARGIN TRADING• Maximum allowable
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INTERNET TRADING• Prior permissio
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OFFICE MANAGEMENTNotice Board• Di
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OFFICE MANAGEMENT (contd..)Complian
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OFFICE MANAGEMENT (contd..)Complian
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PMLA ( continue)Stcock Broker/Sub-B
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DEALING WITH INTERMEDIARIESThe trad
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DEALING WITH INTERMEDIARIES(Contd..
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MEMBERSHIP REQUIREMENT• Trading m
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Compliances relating tomaintenance
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MAINTENANCE OF BOOKSAND RECORDS (Co
Page 176 and 177:
Page 178 and 179:
Page 180 and 181:
Page 182 and 183:
CODE OF CONDUCTTrading Member shall
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CODE OF CONDUCT (Contd…)Unbusines
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OBLIGATIONS OF A TRADINGMEMBER─ T
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RIGHTS OF THE INSPECTINGOFFICIALS
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PERIODIC SUBMISSIONSAnnual Submissi
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PERIODIC SUBMISSIONSOther submissio
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THANKS71194
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11 Handling Of Commodities Of Clien
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from this account to the Settlement
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2.3.2 The Member of the Exchange sh
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i) The power of attorney / board re
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) The Exchange by default shall not
Page 206 and 207:
) All monies received from the clie
Page 208:
Members of the Exchange are require
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