ARG COMPLIANCE MANUAL - Rathi Online

Branches failing to comply to these instructions will be strictly dealt with byCompliance dept. including termination of BOLT & NEAT of defaulting brancheswithout any further notice. The action taken by the department will be binding.Guidelines to be followed for mapping Clients in commoditiesThis is to bring to your notice that all the clients in MCX & NCDEX that are sent to the EDPdept. for mapping will be taken for uploading on same day to the Exchange only if the detailsare received before 5 pm every day.Any client details received thereafter will be added for upload to the Exchange the next day.The success of all the codes is received by the Exchange in a day if not rejected byExchange.Thus any client details provided i.e fed in Pradnya before 5 pm will be activated thenext day in MCX & NCDEX following the Exchange success file received around11am.The reject codes will be intimated to branches. Inorder to reduce the rejection rates pleasenote the mandatory fields in Commodities as under:1. Segment2. Client Name3. Client Code4. Complete Address including STATE ;COUNTRY & PINCODE5. PAN details (without any special characters or space and after verification withIncome tax site. http://incometaxindiaefiling.gov.in/challan/enterpanforchallan.jsp.)6. Date of Birth incase of Individual and Registration date for Corporates along withPlace of registration.7. Select similar client Status & Category (e.g:If status Is HUF the category will bydefault be HUF)All Branches are instructed to follow procedure for smooth operation of the account openingprocess. No special request will be entertained for activation of new clients without propersuccess received from Exchange.37