ARG COMPLIANCE MANUAL - Rathi Online

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NCDEX CTCL ID :- Details to be Provided1 SR NO2 RECORD TYPE3 SEGMENT4 VPN/LEASED LINE ID5 USER ID6 TERMINAL ADDRESS 17 TERMINAL ADDRESS 28 TERMINAL ADDRESS 39 CITY10 PIN CODE11 STATE12 TEL NO13 FAX NO14 EMAIL ID15 CONTACT PERSON16 DESIGNATION17 MODE18 Employee Code19 APPROVED PERSON20 FATHERS NAME21 DOB22 RES ADD 123 RES ADD 224 RES ADD 325 CITY26 PIN CODE27 PERMANENT ADD 128 PERMANENT ADD 229 PERMANENT ADD 330 CITY31 PIN CODE32 RELATIONSHIP with A P33 CTCL ID34 DATE OF ACTIVE35 DATE OF DISABLE36 PAYMENT37 NCFM REGN38 VALID UPTO39 PURPOSE40 AUTH PERSON41 VENDOR42 STATUS22
CLIENT INFORMATION SHEET (ONE PAGER)1. Branch to obtain information of client in one pager form i.e. Client Information Sheet (CIS).2. Client Code to be allotted based on the said information and respective prefix allotted to branch.Name of the ClientClient CodeStatus of the ClientClient AddressResidencePhone no Res.OfficeCLIENT INFORMATION SHEETExchanges Applicable: BSE NSE F&OIndividual/HUF/Firm/Corporates IndividualOffice no. / Mobile no.PAN No.EmailDate of Birth Passport No Date Of IssueExpiry DatePlace of IssueClient Bank DetailsClient DP DetailsBank NameName of the DPBranchDP IDBank A/c No.Client IDARSPL Bank DetailsNCSPL Bank DetailsName of the HDFC Bank Name of the HDFC BankBankBankBranch Mumbai Branch MumbaiBank A/c No. 0‟123200003 Bank A/c No. 0‟60034000509743Broker DP DetailsDP Name ARSPL NCSPLDP ID 10600(C IN301803(NS IN 301803DSL) DL)CM BP ID 030 IN651983(NS IN 559169(CMID) DL)Brokerage StructureSquare Up _______% _______MinDelivery _______ % ________Min(Both Sides / Single Side)+ Other Charges *+ Other Charges *Service Tax (as per applicable) presently 10.2%,(* Other charges include Turnover tax, Transaction Charges & Stamp duty )Specific Instructions for OperationsDate : Signature :Prepared by : Signature :Name of EDP dept person : Signature :Name of Authorised person : Signature :23
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 14: - BSE-AUTHORISATION FOR SIGNING CON
Page 18 and 19: Procedure to be followed by branche
Page 20 and 21: Trading terminals to be located at
Page 24 and 25: IF NOT SATISFIEDCRF PROCEDURE - OFF
Page 26 and 27: FORMAT FOR CRF REQUISITIONDate :To,
Page 28 and 29: DOCUMENTARY REQUIREMENTS[ check the
Page 30 and 31: List of documents approved as Addre
Page 32 and 33: Appropriate UCI category to be allo
Page 34 and 35: Checklist to be confirmed by Branch
Page 36 and 37: Guidelines to be followed before tr
Page 38 and 39: RMS PROCESS FLOWMARGINS AND LIMITSA
Page 40 and 41: AUTO SQUARE OFF - BSE AND NSE CASH
Page 42 and 43: Square Off ReportOtherSegCreditTota
Page 44 and 45: Final Auto Square Off Report - foll
Page 46 and 47: REPORTABLE MARGIN(includes Ledger b
Page 48 and 49: PartyCodeClient AClient AOverall Po
Page 50 and 51: 21. Square off value - square off q
Page 52 and 53: For e.g - Client AParticularsTraded
Page 54 and 55: lient CSYBEANIDR 20-Mar-08 -10 2274
Page 56 and 57: Undertaking to be procured from cli
Page 58 and 59: Under Certificate of PostingDate: _
Page 60 and 61: 5. We further state that believing
Page 62 and 63: Sr.NoCustomerServiceStandardsLedger
Page 64 and 65: DEALING WITH CLIENTS1. Branch must
Page 66 and 67: ISSUES PERTAINING TO INSURANCE CLAI
Page 69 and 70: REPORTING OF BULK DEAL / BLOCK DEAL
Page 71 and 72: USEFUL WEB SITESwww.bseindia.comwww
Page 73 and 74:
25262728Statement of accounts Secur
Page 75 and 76:
Code of conduct for Prevention of I
Page 77 and 78:
SECURITIES AND EXCHANGE BOARD OF IN
Page 79 and 80:
(3) Transactions With Stock-Brokers
Page 81 and 82:
(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
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k) An undertaking should be submitt
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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 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 177 and 178:
Page 179 and 180:
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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