ARG COMPLIANCE MANUAL - Rathi Online

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Appropriate UCI category to be allotted to client in PradnyaWith reference to the circular issued by National Stock Exchange (NSE/INVG/2006/32) ithas been made mandatory for displaying the appropriate UCI status of the client to theexchange. Acting on the same the necessary changes have been made in Pradnyasoftware.All the branches are required to upload the details of the client with the appropriate UCIcategory status of the client from the table mentioned below:CategoryCodeIndividuals 1Partnership Firms 2HUF 3Public & Private Companies / BodiesCorporate 4Trust / Society 5Mutual Funds 6Domestic Financial Institutions (Other thanBanks & Insurance companies) 7Banks 8Insurance Companies 9Statutory bodies 10NRIs 11FIIs 12Overseas Corporate Bodies 13The client mapping in Cash and F&O will not take place for all the branches failing to do soas the codes will be rejected by Exchange. Please comply with immediate effect.The queries in this regard can be addressed to the Compliance Department32
SHIFTING & CLOSURE OF CLIENTNote:1. Incase a client is shifting from one branch to other the formalities to be carried outby the branch is provided in this format. Account closure format must be collected in case ofclient shifting2. Branch manager in the Old as well as New has to make sure all the formalities arecompleted before shifting. Activation and deactivation will take place on the same day oncea mail is sent with the Old and New client codes along with the scan copy of the format toEDP; RMS and Settlement Dept.3. Printout on plain paper. CRF will be collected only if Old CRF is missing. All the fields inthe format are to be filled before submission of the scanned copy to all concerneddepts..(mapping@rathi.com (RMS); crcedp@rathi.com (EDP);crcsettlement@rathi.com (Settlement) and cc to accountopeningib@rathi.com ). Ifany field is empty the form will be rejectedFORMAT FOR APPLICATION FOR SHIFTING OF CLIENTDate :To,Anand Rathi Financial Services Ltd/ Anand Rathi Share & Stock Brokers Ltd/ AnandRathi Commodities LtdDear Sir,I _________ (Name of Client) having trading account with you, _______ (Client Code) would like to shift mytrading account from your _______(Branch) to _______(Branch) dueto___________________________________________________(Reason for change).I authorize you to deactive my earlier account and issue a new client code________ as per _____Branch.Thanking You,(Name of Client & Signature)Branch Manager33
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 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 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
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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
Page 115 and 116:
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
Page 123 and 124:
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
Page 135 and 136:
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
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OFFICE MANAGEMENT (contd..)Complian
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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
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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
Page 207 and 208:
13.3 Advertisementa) Member of the
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