ARG COMPLIANCE MANUAL - Rathi Online

ACTIVITY SCHEDULE FOR BRANCH OPENINGSr.No.1 Capex approved by Management2 Manpower planning approved by VC3 Sanctioned amount of Manpower4 Working structure done at the branchParticularsComputer & Printer installation/Wiring work doneFixing of DP(for fixing cables)outside and Inside for fixation of internet and telephone linesEarthing for VPNFlex installationSign board installationReliance phone (……… nos)2 BSNL / Other landline connectionsInternet Connection (serivce provider)5 Whether copy of Rent Agreement has been received - Not required incase of Regd. SB's office6 NOC copy received by the branch7 Intimation given to HECL8 Site survey Conducted9 Schduled date of the materail to reach the site10 Checklist for connectivity to HECL11 Connectivty done12 Whether details of NCFM Approved User alongwith copy of certificate has been received13 Board Resolution for -- For opening Branch- For opening Bank A/c- For signing Contracts/Bills14 Whether Clients Bank A/cs have been opened for NSE & BSE transactions separately. Pleasemention Bank A/c No.15 Whether DP A/cs have been opened with NSDL / CDSL. Please mention DP A/c No.16 Software installation & training at Branch location completed17 CTCL IDs uploaded/intimated to NSE18 Branch opening mail19 Whether SEBI Certification has been despatched for displaying20 Whether Notice Board has been despatched for displaying in the format as prescribed by NSE21 Whether Email Id of the Branch has been created. Please mention email id23 Prefix code22 IPO Code23 Mutual Fund Code24 Date of commencement of business3