ARG COMPLIANCE MANUAL - Rathi Online

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FORMAT FOR CRF REQUISITIONDate :To,Head OfficeCompliance DeptDear Sirs,Subject: Requisition Letter – Offline SegmentWe require Client Registration Form. The details are mentioned below.Particulars BSE NSE/CD/MCX-SX COMBINE BSE/NSE COMMODITYInd Non Ind Ind Non Ind IndStock as on date - NILLess: CRF sent to HOBalance CRF -Add : Requirement -Total Stock -Note: Kindly give BSE & NSE/CD/MCX-SX Franking forms separately.Kindly give the CRF‟s who holds this requisition letter.Regards,Name of the BranchName & Signature of Branch Manager26
KYC CHECKLIST1. The AOT shall check the CRF’s in totality with proofs. No mandatory field should beleft blank and necessary supporting documents should be attached. List of mandatoryfields and supporting documents attached.2. All the supporting documents shall be self attested by the client.3. NO CRF SHALL BE ACCEPTED WITHOUT COPY OF PAN CARD (both sides) [verified with the original by the branch / franchisee ]4 AOT shall audit and any incomplete CRF shall be returned back and be treated asnot received. Those branches sending incomplete CRF‟s will be kept a track of andthe management will take a strict action against the defaulting branches.5. AOT shall maintain KYC in excel format of all the completed CRF‟s.6. CRF‟s complete in all respect shall be allotted a file number and be placed in thesame for future references7. Follow up with branches for pending CRF‟s8. Monthly audit report shall also be sent to respective Branches / Franchisee9. Under mentioned are the mandatory fields:1. Name2. Date of Birth3. Residential Status4. Residential Address/Office Address(City & State, Country, Nationality, PinCode)5. Details of Bank Account (Bank Name, Address, Account No., Nature ofAccount)6. Details of Depository Participant7. Details of Introducing Client8. Check Signatures of the client wherever (x) is marked and also crosssignature on photograph9. Franked page should be fully filled up with date, name and address.10. Generally Branch manager‟s are being authorized to act and sign asauthorized signatory and thus should sign on the member – client agreement.In exceptional circumstances any other authorized signatory from the branchmay do so. Check Client‟s signature on the MCA. One witness each shouldsign from our side and client side.27
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 24 and 25: IF NOT SATISFIEDCRF PROCEDURE - OFF
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
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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
Page 111 and 112:
33. Gender34. Introducer DetailsII.
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IF NOT SATISFIEDProcess FlowSTARTCR
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B. Code Of Conduct For Prevention O
Page 117 and 118:
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
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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
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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
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OFFICE MANAGEMENT (contd..)Complian
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Prevention of Money Laundering Act,
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Compliances relating toDealing with
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DEALING WITH INTERMEDIARIES(Contd..
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Compliances relating toMembership R
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MEMBERSHIP REQUIREMENT• Trading m
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MAINTENANCE OF BOOKSAND RECORDS Sec
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MAINTENANCE OF BOOKSAND RECORDS (Co
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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
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trading system after submission of
Page 205 and 206:
11. HANDLING THE COMMODITIES OF CLI
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13.3 Advertisementa) Member of the
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