ARG COMPLIANCE MANUAL - Rathi Online

NOTICE BOARD:BSE1. Name of the Trading Member ofBSE (SEBI Registration No.)2. Address & Tel. No. of the Mainoffice of the trading member (AlsoName & Tel. No of the contact personin the main officeAnand Rathi Share and Stock Brokers Limited4th Floor, Silver Metropolis,Jay CoachCompound, Opp. Bimbisar Nagar,Goregaon(E), Mumbai - 400 063.Jugal Mantri022-40013700INB011371557/INF0106769313. SEBI Registration No. of the tradingmember4. BSE Investor Service Cell Tel. No. 022 - 22721233/34Do’sa. Always deal with market intermediaries registered with SEBI/Exchanges.b. Give clear and unambiguous instructions to your broker/agent/depository participant.c. Always insist on contract notes for all the transactions from the main broker (name tobe specified) within 24 hours of the trade execution. In case of doubt of thetransactions, verify the genuineness of the same on the Exchange websitewww.bseindia.com.d. Always settle the dues through the normal banking channels with the marketintermediaries.e. Always make payment directly to the main broker (name to be specified).f. Always give delivery of shares directly to the main broker (name to be specified).g. Adopt trading/investment strategies commensurate with your Risk bearing capacityas all investments carry risk, the degree of which varies according to the investmentstrategy adopted.h. Always sign a Member-Client Agreement or the tripartite agreement with the tradingmember & SEBI registered sub-broker of the trading member of BSE as the casemay be.i. Please carry out due-diligence before registering as client with any Intermediary.Also, carefully read and understand the contents stated in the Risk DisclosureDocument, which foRMS the part of client registration for dealing throughintermediaries in the Stock Market.Don’tsa. Don‟t deal with unregistered brokers/sub-brokers, intermediaries.b. Don‟t leave the custody of your Demat Transaction slip book in the hands of anyIntermediary.c. Don‟t fall prey to promises of guaranteed returns.d. Don‟t blindly imitate investment decisions of others who may have profited from theirinvestment decisions.7