ARG COMPLIANCE MANUAL - Rathi Online

11 Handling Of Commodities Of Clients For Deliveries 2011.1 Type of Demat Account 2012 Client's Fund Management 2112.1 Review of Client /Own bank 2112.2 Bank Book 2212.3 Issue of Statement of accounts/funds to Clients 2213 Miscellaneous 2313.1 Appointment Compliance Officer 2313.2 Investor Grievances 2313.3 Advertisement 2313.4 Membership Requirement 2313.5 Submission of Annual Returns 2513.6 Submission of Annual Compliance Report(ACR) 2613.7 Display of Notice Board 261. MAINTENANCE OF BOOKS OF ACCOUNTS/DOCUMENTS/ RECORDSFollowing Books of Account / Records / Registers / details, are required to be maintainedby the Member as per Bye-law 11.5, Circular No. MCX/12/2006 dated January 10, 2006:a) Order Bookb) Trade Filec) Register of Transactiond) Margin Deposit Booke) Exchange wise separate client ledgerf) Clients Bills along with bill summaryg) Commodity register/ledgerh) Records in respect of premium/discounti) Records in respect of brokeragej) Journals (JVs)k) Cash Bookl) Bank Book and bank pass Book/bank statementsm) Daily Margin Statement and Client wise Margin reportsn) Trade Confirmation Slipo) Records of transaction of all purchases and sales of commodities / contractsp) Record of all statement received from the appropriate agencies and record of allcorrespondence with them.q) Reports like Trade log/Order logr) Copies of all instructions obtained in writing from client s including participantsfor order placement, order modification, order cancellation, trade cancellation.s) Record of contract wise Deliveries received / Tendered.t) Any other books of accounts/documents/records as prescribed by the FMC, MCXand / or any relevant authority from time to time.1.1. Order BookMember should maintain the details of order placed by its clients, records of timewhen a client has placed the order. This information is required to be maintainedby the Member in his Order Book.196