ARG COMPLIANCE MANUAL - Rathi Online

REPORTING OF BULK DEAL / BLOCK DEALWith reference to Circular No.: NSE/CMO/0092/2004 it is informed to allthat Branches shall make disclosures to the Head Office with respect to all transactions in a scripBulk Deal: where total quantity of shares bought / sold is more than 0.5% of the number ofequity shares of the company listed on the Exchange.Block Deal: All transactions where the total quantity of shares is equal to or greater than 5lakhs or in total value equal to above 5 Crores whichever is earlierThe price should be within +/- 1% of the last traded price or previous closing price.The details of the same will be reported on the same day of the transaction between 3 pm to3.45 pm in the format attached to krishnavenichava1@rathi.com/rupalikadam@rathi.com . Thesubject of such deal sent through mail must be BULK DEAL- NSE corresponding to the segmentin which the transaction has been carried out.Any branch failing to report such transactions on the same day will be penalized at Rs 5000 pertransaction.The queries in this regard can be addressed to the Compliance Department and also can bediscussed with the under mentioned.Details to be provided for Bulk Deal Reporting1 Exchange2 Client3 Client Name4 Instrument Type5 Symbol6 Scirp Code7 Scrip Name8 Buy Qty9 Buy Val10 Buy Avg.11 Sell Qty12 Sell Val13 Sell Avg.14 Net Qty15 % of Equity16 Equity Of Company69