ARG COMPLIANCE MANUAL - Rathi Online

BRANCH AUDIT CHECKLISTInaugarationdateActiveSegmentsSr No Particular Remarks Complied(Y/N)1 Registered2 Certificates3 Notice Board4 Terminals5 AgreementIncase of registered Subbrokers6 KYC7 CRF8 Missing CRF9 PAN10 Authorised SignatoryCheque1112131415161718192021222324CashSecuritiesPaymentF & O TradingComplaint RegisterPay-in of FundPay-Out of FundF & OF & OContract NotePay in of SharesPay Out of sharesFamilyBranch registered under the Shops &Establishment Act/ Local AuthorityRelevant SEBI & FMC registrationcertificates displayed at branchRelevant Notice Board displayed at Branch(BSE/NSE/MCX/NCDEX)All terminals alloted are used by relevantemployee dealers registered in their namewith their NCFM having validity for next 3monthsClient agreements executed;maintained &intimated to HO for all clients and confirmedby HOTripartite agreements executedTrack of all clients details maintained insoftcopyTotal Clients = Total CRF; NO CRF noUCC;One client one codeNew CRF collected from existing client asper HO listPAN copy of clients maintained afterverification with original card & income taxsite and screenprint attached with CRFAS appointed in Branch and intimated toHO in relevant format for ExchangeSubmissionPayment must be received / paid in chequein the name of Broker Company/Client notin the name of any other company/partyNo broker shall receive / pay cash to theclientsNot to accept / issue third party securitiesNot to issue / recd payment from third partyTrading in Ban period – Rs 5000 Penaltycharges by NSE (Increase in open positionover 95%)RMS alertsBranch/Sub-Broker must maintain - Clientcomplaint Register.To send it bimonthly toCompliance Dept– HOClient should issue us a cheque same dayof Purchases of Shares ( Trading Day)Branch should issue cheque on T+2 to theClientsUpfront Margin must be collected by thebranch before executing the sauda in caseof F & O SegmentM To M Margin should be collected on adaily basisContract Note must be issued to the clientwithin 24 hours of trading.Acknowledgement register maintained forthe same.Client should deliver the shares to thebroker same day of sales or maximum T+1dayClient should receive shares from thebroker within 24 hours from the payout recdfrom the ExchangeNo family Adjustment allowed72Reason forNonCompliance