ARG COMPLIANCE MANUAL - Rathi Online

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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
25262728Statement of accounts Securities ledger and Account / FundStatement to be sent to the Client onQuarterly basisReporting of bulk deal To report bulk deal to us on or before 3.30pm on a daily basis (BSE)MinorUCC registrationNot to open minor trading account/ trustaccountTrade carried out in Code only afterExchange successful registration of UCCNote: Employees are requested to update themselves regularly via http://intra.rathi.com/Compliance folderIncome tax Link:http://incometaxindiaefiling.gov.in/challan/enterpanforchallan.jsp73
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COMPLIANCEMANUAL
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ACTIVITY SCHEDULE FOR BRANCH OPENIN
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DISPLAY OF NOTICE BOARDNote: 1. All
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NOTICE BOARD:BSE1. Name of the Trad
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1 Name of the Trading Member(Commod
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CONTRACT NOTES (CN) & APPOINTMENT O
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- BSE-AUTHORISATION FOR SIGNING CON
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Procedure to be followed by branche
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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 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: USEFUL WEB SITESwww.bseindia.comwww
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
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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
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Page 179 and 180:
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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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