ARG COMPLIANCE MANUAL - Rathi Online

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Checklist to be confirmed by Branch Manager before submission to compliance Dept:Sr NoParticularsConfirmFromYes /No1. CRF Confirmed by the Branch Branch2 Client code Deactive from Mapping RMS3Old Client Code & DP details Deactive inBack Office Software.EDP4 Letter from the Client for closing of Trading A/c Client5 Account must be Zero Branch6 Shares must be Transfer to Client A/c Branch7 New client Code ------------------ New BranchNote: If all the answers are not Yes the transfer will not be valid from Compliancepoint of view.34
ACCOUNT CLOSURENote: 1. Incase a client is closing his account the formalities to be carried out by the branch isprovided in this format.FORMAT FOR REQUEST LETTER FOR CLOSURE OF TRADING ACCOUNTToThe Branch ManagerBranch:Dear Sir,I am having a trading a/c with *(Anand Rathi Financial Services Ltd/ Anand Rathi Share & StockBrokers Ltd/Anand Rathi Commodities Ltd.) vide client code ____________ and D-Mat ID____________________. I would like to close my trading account asReasons:Unhappy with service.Moving residence, no Anand Rathi Branch near residence/ office.Moving from the city, no convenient branch in new city.OthersIf Others: --------------------------------------------------------------------I request to please close my account bearing client code __________ with immediate effect.Client DetailsNameAddressContact No.I certify that there are no dues pending w.r.t funds and securities in my account.Yours truly,Signature of Client:Verification by branch Manager:Branch:Dated:Remark On Date Confirmed by Yes/NoCRF Collected * BSE/NSE/F&O/Commodities BranchDeactivated from RMS & EDP By …………By …………RMS & EDPDept.Complaint pending (if any)Branch HeadLedger Balance Amount: Rs Branch HeadShares TransferredBranch HeadRemarks:Branch HeadIf Client shifting (New code)New BranchStrike out if not applicable.Note: If all the answers are not Yes the transfer will not be valid from Compliance point ofviewSignature & Name of branch manager:35
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 32 and 33: Appropriate UCI category to be allo
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
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33. Gender34. Introducer DetailsII.
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IF NOT SATISFIEDProcess FlowSTARTCR
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B. Code Of Conduct For Prevention O
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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
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11. HANDLING THE COMMODITIES OF CLI
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13.3 Advertisementa) Member of the
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