ARG COMPLIANCE MANUAL - Rathi Online

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5. We further state that believing your representations to be true, we acted upon in good faith and provided you thetrading facilities as aforesaid, which have been availed by you without paying your legitimate dues. It is thus, very clearfrom your representations and subsequent conduct that you have misrepresented the facts to us and by deceitful meansobtained lawful gain to yourself/yourselves and caused corresponding loss to us and thereby committed breach of trust.6. In the circumstances, we hereby call upon you to pay the aforesaid sum of Rs.____ /- (Rupees___________only) towards outstanding dues / debit balance in your account together with interest thereon @18%per annum from its due date till payment within 7 (seven) days from the date of receipt of this notice by you. Indefault, we will be constrained to adopt criminal proceedings or other appropriate legal proceedings includingarbitration under the Rules, Bye-laws and Regulations of the Exchange as we may be advised at your entirerisk as to costs and consequences, which please note.Yours faithfully,For ____________________** (Authorised Signatory)(Branch Manager)60
OFFICE MANAGEMENTSr.NoCustomerServiceStandardsConfirmationof transactionto client byFax / PhoneConfirmationof entire daystransactionsContract Noteto be given toclient -dispatchthrough handdelivery orcourier:Cash MarketAnand <strong>Rathi</strong> GroupCustomer Service Standards (Branches to their clients)HNIWithin 10minutes ofexecuting thetransactionMNIWithin 10minutes ofexecuting thetransactionRetail Investor -SmallWithin end of DayRetail TradersWithin 10minutes ofexecuting thetransactionBy 5.00 PM By 5.00 PM By 5.00 PM By 5.00 PM7:30 PM 7:30 PM 7:30 PM 7:30 PMF&O segmentOutstandingPosition toClients -Payment aswell as sharesScrip wiseOpen Positionin F&OsegmentMarginstatement /Dues to clientsin F&OsegmentPayoutcheques toclientsPayoutdeliveries toclients7.00 PM 7.00 PM 7.00 PM 7.00 PMNext day before9:30 AMNext day before9:30 AM61Next day before9:30 AM7:30 PM 7:30 PM 7:30 PM 7:30 PMOn payout day -before 6:00 PMOn payout day -before 7:30 PMOn payout day -before 6:00 PMOn payout day -before 7:30 PMOn payout day -before 6:00 PMOn payout day -before 7:30 PMNext day before9:30 AMOn payout day -before 6:00 PMOn payout day -before 7:30 PM
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 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 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.
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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
Page 177 and 178:
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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