ARG COMPLIANCE MANUAL - Rathi Online

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For e.g - Client AParticularsTradedayTrade day +2+1 Situation 1 Situation 2Reportable margin (a) Rs. 8,00,000 Rs. 10,00,000 Rs. 12,00,000Other segment credits (b) Rs. 1,50,000 Rs. 2,00,000 Rs. 2,00,000Total Margin Required (c) Rs. Rs. 20,00,000 Rs. 20,00,00020,00,000Additional fund deposit (d) Nil Rs. 2,00,000 Rs. 2,00,000Total Av. Rep. Margin (e) Rs. 9,50,000 Rs. 14,00,000 Rs. 16,00,000Margin Availability (%) (f) 47.50 70 80Auto square off (Yes/No) (g) Yes Yes NoAmount of Auto Square off (h) Nil Rs. 600000 NilFormat of Shortfall Report / Square off Report:Followings details will be provided in both the reports --PartyCodeRepMarginBSEBalNSEBalFNOBalMCXBalOtherSegCreditFamilyCreditTotalRepMarginTotalMarginRequired ShortfallMarginAvailability%ClientA -8643 0 0 0 15290 15290 0 6647 24641 -17994 26.98ClientB 8675 0 0 0-113059 0 0 8675 24779 -16104 35.01ClientC -40203 0 0 0 59775 59775 0 19572 53570 -33998 36.54ClientD 40383-120002 0 0 0 0 0 40383 105216 -64833 38.38ClientE 206656 -57713 0 63732 0 6019 49280 212675 645255 -383300 40.6ClientF 3596 0 0 0 2613 2613 0 6209 14793 -8584 41.97ClientG -12699 0 0 0 19900 19900 0 7201 15216 -8015 47.33ClientH 23549 0 0 0 0 0 0 23549 48876 -25327 48.18Client I 3978 -6220 0 0 18348 18348 0 22326 44755 -22429 49.881. party code2. Rep. Margin - (ledger bal + cash collateral +non cash collateral )3. bse bal – ledger balance of bse segment4. nse bal – ledger balance of nse segment5. fno bal - (ledger bal + cash collateral +non cash collateral ) minus (initial margin+ exposuresmargin)6. mcx / ncdex - (ledger bal + cash collateral +non cash collateral ) minus (initial margin+exposures margin)7. other segment total – col. 3+4+5+6(cash +fno+mcx/ncdex)8. Family credit – sum of ledger balances of client’s familyi. Note : only family credit will be considered in calculation of shortfall.ii. Family means – those clients which will exist in backoffice as family members andalso include his parentsiii. Balances – as per above calculation for bse ,nse,fno,mcx,ncdex9. total Rep .margin – col. 2+7+8 total available deposit of client against open position.52
10. total margin required – total margin consumed by open position of the client (initial margin +exposures margin(if any))11. shortfall – col. 9 minus (col. 7 PLUS col. 8)12. margin availability % - (col. 9 plus col.8(if credit) / col.10 . total margin available against themargin requiredNOTE : if we click on any row than there is display of family members of that client withfree balances of all the segment.Overall position Report --Followings details regarding overall position of the clients, which are shown in square off clientreport –1. party code2. symbol – scrip name3. expiry date – expiry of the scrips4. trade able lot – minimum qty of scrip which can be trade5. no of lot – no of lot retain by clients ( net qty / tradeable lot)6. Available qty – open position of the client in backoffice7. closing rate – closing price of the respective scrip .8. closing value per lot – closing price of the scrip x tradeable lot9. contract value – closing value of all contract10. margin % - margin % as per previous day Scripwise margin report11. margin value per lot – col 11 x col. 812. total margin required – col. 11 x col. 913. total rep. Margin – total reportable margin plus other segment credit(if credit)14. margin shortfall – total margin required minus total rep margin15. margin availability % - col. 13 / col.14 margin available against the margin requiredSquare off position Report – Followings details showing overall position of the clients with the squareoff qty which will be square off by HO.Time of Display - beginning of the day – 9.30 a.m- before square off -- 3.30 p.martyode symbol ExpirydateAvailableQuantityContractValueQtySqOffSquareOffValueMarginPercentageMarginvalueShortFalllient ASTLINGGZB 20-Mar-08 -30 835200 -10 278400 5.53 15396lient A TOTAL 15396 -11920COCUDClient B AKL 20-Mar-08 -100 863200 -40 345280 6.07 20960lient B TOTAL 20960 -1767553
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 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 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
Page 87 and 88: On T+1 day16 Client Direct Payout F
Page 89 and 90: SEBI-PMSSr.No.Name of thereport/sta
Page 91 and 92: MCX:Sr.No. Name of the report/state
Page 93 and 94: k) An undertaking should be submitt
Page 95 and 96: Final ApprovalJugal Mantri(Group CF
Page 97 and 98: CHECKLISTFor Individuals/Sole Propr
Page 99 and 100: For Partnership/CorporatesSUB-BROKE
Page 101 and 102: Remiser in BSE Cash Segment101
Page 103 and 104:
completion of all the closure forma
Page 105 and 106:
with brokerages to be charged to cl
Page 107 and 108:
PART -I OVER VIEWA. Introduction1.1
Page 109 and 110:
C. Guiding Principles3.1.1. These G
Page 111 and 112:
33. Gender34. Introducer DetailsII.
Page 113 and 114:
IF NOT SATISFIEDProcess FlowSTARTCR
Page 115 and 116:
B. Code Of Conduct For Prevention O
Page 117 and 118:
II. Dealing With Employee Clients1.
Page 119 and 120:
B. Monitoring & ReportingI. Cash Tr
Page 121 and 122:
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
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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
Page 141 and 142:
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,
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
Page 195 and 196:
CommoditiesContents1 Maintenance Of
Page 197 and 198:
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
Page 203 and 204:
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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