ARG COMPLIANCE MANUAL - Rathi Online

Guidelines to be followed before trade in Client CodesKind Attn: OPM/ Branch Managers Especially Dealers/ Backoffice StaffThe term „Branch‟ wherever mentioned includes own branch as well as franchisees.For NEAT(Direct terminal for NSE Cash & F&O Codes): Use F12 : Supplementarymenu/ Client Master Maintenance: Add all the active list of clients in NSE (or Fileupload facility)For BOLT (Direct terminal for BSE cash): Use Shift+F12: Add clients active in BSE (orFile upload facility)No trade should be carried out in codes which are not available in the list.Instructions:1. Ensure that all the data entered in Backoffice software (PRADNYA) & WEBX are crosschecked and verified with relevant supporting documents (self attested by client)accepted along with CRF (Registration/ Trading forms) (CRF should be completely filledin all respects) E.g. Verify Name of Client with PAN card; PAN details with the websitehttp://incometaxindiaefiling.gov.in/challan/enterpanforchallan.jsp.ORhttps://onlineservices.tin.nsdl.com/TIN/PANVerification.doIncome slab with Salary slip (for Individuals) / Net worth certified by CA(for Non-Individuals) every 6 months For more go through the circular folder available inintra.rathi.com / ComplianceAny discrepancies found at this level should be immediately reported.2. Mapping of clients to respective terminals should be carried out after success receivedfrom the respective Exchanges. Active list of clients should be checked before mapping.3. Any changes to be made in PRADNYA(to EDP..) or Exchange (to Compliance in UCCformat to pan@rathi.com ) will have to be sent in format already stipulated.4. No special request will be entertained to allow trade in a code that is not there in theactive list5. Any client who wants to discontinue his account and dispose his shares but has noproper mandatory details like PAN will have to rematerialize his shares. But no trademust be allowed in the client codes.6. Any shifting or account closure of client will be done as per procedure available inIntra.rathi.com / Compliance folder.7. Branches are requested to go through the attachments thoroughly before placing a callto HO. Also keep yourself updated on a daily basis with the circulars and details providedin Intra.rathi.com / Compliance folder as per the path mentioned below.36