ARG COMPLIANCE MANUAL - Rathi Online

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IF NOT SATISFIEDCRF PROCEDURE - OFFLINESTARTCRF to AOT fromBranchesWith Excel format of KYCmailed to AOT Dept.And Pending CRF statusFully checked withthe mandatory fieldsand proofs.IF SATISFIEDAOT . updated on dailybasis about the file no andthe CRF in that file.Entered in the system,CRF to be filed,Alloted a file no.For permanent recordFollow upwithBranchesFor proofs,completeddocumentsand pendingCRF statusEND24
CRF PROCEDURE1. CRF will be dispatched to branches / Franchisee out of Mumbai on the receipt of theirrequisition letter via e-mail. For Branches and Franchisee situated in Mumbai region,the respective branch office personnel‟ can collect the CRF from the HO onSaturday’s before 2.30 PM, on producing properly filled and duly signed [by thebranch head] requisition letter.2. CRF’s shall be dispatched by branches / Franchisee to HO on daily basis, to belowmentioned address with email of KYC format [ of those CRF‟s which are sent to usthrough courier ] at, krishnavenichava1@rathi.com ,and rupalikadam@rathi.comAddress to send CRF:Anand <strong>Rathi</strong> Share and Stock Brokers LimitedCompliance dept.4th Floor, Silver Metropolis,Jay Coach Compound, Opp. BimbisarNagar,Goregaon (E), Mumbai - 400 063Tel: (B) :+91-022-40013 700 (D) :+91-022-4001 3894/3752, (F) :+91-022-4001 37703. On the receipt of the CRF‟s, the confirmation will be made to the branch / Franchiseethrough the KYC mail received earlier by branch / Franchisee [ Without KYC Check]4. Kindly send CRF details in KYC format as ( soft copy and hard copy of KYC format),while sending it to HO.5. On the receipt of CRF at HO, it shall be franked [Without KYC Check]. Please ensurethat the client does not trade before the CRF gets franked at our ends.6. After franking, CRF KYC check shall take place. KYC checklist attached.7. For the CRF‟s completed in all respect, confirmation receipt [KYC Check] shall bemade to branches / Franchisee by the Account opening Team[AOT] via e-mail.8. Incomplete CRF‟s [ in any respect ] shall be returned by HO to the respective Branch/ Franchisee and the same shall be intimated via www.intrarathi.com.9. Follow up for the incomplete CRF‟s would be done by AOTAOT shall check, audit and keep a track on the CRF.You may find attached the CRF procedure, email audit format and KYC format, which will bepracticed at HO, Mumbai, by the AOT. Further, it is proposed that all the branches have toscan the CRF [KYC only] along with the supporting documents and upload it onwww.intrarathi.com as per the Unique Client code allotted.25
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 22 and 23: NCDEX CTCL ID :- Details to be Prov
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
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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
Page 105 and 106:
with brokerages to be charged to cl
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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.
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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
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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
Page 129 and 130:
Broad Areas CoveredMajor compliance
Page 131 and 132:
REGISTRATION OF CLIENTS• Know You
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REGISTRATION OF CLIENTS (Contd…)A
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REGISTRATION OF CLIENTS (Coned…)S
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REGISTRATION OF CLIENTS (Coned…)S
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REGISTRATION OF CLIENTS (Contd…)U
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DEALING WITH CLIENTS (contd..)Compl
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DEALING WITH CLIENTS (contd..)Funds
Page 145 and 146:
DEALING WITH CLIENTS (contd..)State
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DEALING WITH CLIENTS (contd..)Margi
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DEALING WITH CLIENTS (contd..)Strai
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Compliances relating toTrading requ
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MARGIN TRADING• Maintenance of se
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Financing of securities transaction
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INTERNET TRADING• Client specific
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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
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MAINTENANCE OF BOOKSAND RECORDS Sec
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MAINTENANCE OF BOOKSAND RECORDS (Co
Page 177 and 178:
Page 179 and 180:
Page 181 and 182:
Compliances relating toCode of Cond
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CODE OF CONDUCT (Contd…)Misconduc
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CODE OF CONDUCT (Contd…)Unprofess
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OBLIGATIONS OF A TRADINGMEMBER (con
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RIGHTS OF THE INSPECTINGOFFICIALS (
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PERIODIC SUBMISSIONSMonthly Submiss
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Trading members to comply with the
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CommoditiesContents1 Maintenance Of
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1.2. Trade FilesTrade file is downl
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(Applicable to Corporate Entity), C
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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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