ARG COMPLIANCE MANUAL - Rathi Online

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MAINTENANCE OF BOOKSAND RECORDS (Contd…)– Bank pass book– Register of Securities– Members’ contract books– Counterfoils or duplicates of contract notes issued toclients;– Written consent of clients in respect of contracts enteredinto as principals ;– Margin deposit book;53176
MAINTENANCE OF BOOKSAND RECORDS (Contd…)– Register of accounts of sub-brokers;– Tripartite Agreement between broker, sub-broker and clientsspecifying scope of authority and responsibilities of the Broker andsuch sub-broker.All these books of accounts and other records are to be preserved by thebroker for a minimum period of five years as per Regulation 18 of SEBI(Stock Brokers and Sub Brokers) Regulations,199254177
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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
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45. Following part of clause B in S
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19 Contract notes have been issuedt
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On T+1 day16 Client Direct Payout F
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SEBI-PMSSr.No.Name of thereport/sta
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MCX:Sr.No. Name of the report/state
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k) An undertaking should be submitt
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Final ApprovalJugal Mantri(Group CF
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CHECKLISTFor Individuals/Sole Propr
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For Partnership/CorporatesSUB-BROKE
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Remiser in BSE Cash Segment101
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completion of all the closure forma
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with brokerages to be charged to cl
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PART -I OVER VIEWA. Introduction1.1
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C. Guiding Principles3.1.1. These G
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33. Gender34. Introducer DetailsII.
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IF NOT SATISFIEDProcess FlowSTARTCR
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B. Code Of Conduct For Prevention O
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II. Dealing With Employee Clients1.
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B. Monitoring & ReportingI. Cash Tr
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III. Branch / Associates Inspection
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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 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
Page 175: MAINTENANCE OF BOOKSAND RECORDS (Co
Page 179 and 180: 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
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