ARG COMPLIANCE MANUAL - Rathi Online

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CODE OF CONDUCTTrading Member shall• Maintain integrity and fairness in the conduct of allhis business• Act with due diligence, care and skill• Ensure compliance with statutory requirements• Abide with its duties towards the investors• Render fair, prompt and competent services to itsclients• Co-operate to protect the interest of the clients59182
CODE OF CONDUCT (Contd…)Misconduct :• Fraudulent conduct• Violation of governing statutes• Improper conduct• Breach of Rules, Bye laws & Regulations• Failure to comply with Circulars, Arbitration award,testify or give information, submit Special Returns /Audited Accounts, pay dues and fines, etc.• Filing malicious complaints60183
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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
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Why Comply ?Stand alone benefits:
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SCOPE OF COMPLIANCECompliance requi
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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 and 176: MAINTENANCE OF BOOKSAND RECORDS (Co
Page 181: Compliances relating toCode of Cond
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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