ARG COMPLIANCE MANUAL - Rathi Online

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For Dealers:To intimate the compliance officer immediately upon the execution of the order where the traded quantity either buy or sellon account of any trade (client / proprietor) is more than 0.5% (Bulk Deal) of the number of equity shares of the companylisted on the stock exchange.76
SECURITIES AND EXCHANGE BOARD OF INDIA(STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992CODE OF CONDUCT FOR STOCK BROKERS (REGULATION 7)A. GENERAL(1) Integrity: A stock-broker, shall maintain high standards of integrity, promptitude and fairness inthe conduct of all his business.(2) Exercise Of Due Skill And Care: A stock-broker, shall act with due skill, care and diligence in theconduct of all his business.(3) Manipulation: A stock-broker shall not indulge in manipulative, fraudulent or deceptivetransactions or schemes or spread rumours with a view to distorting market equilibrium or makingpersonal gains.(4) Malpractices: A stock-broker shall not create false market either singly or in concert with others orindulge in any act detrimental to the investors interest or which leads to interference with the fair andsmooth functioning of the market. A stock-broker shall not involve himself in excessive speculativebusiness in the market beyond reasonable levels not commensurate with his financial soundness.(5) Compliance With Statutory Requirements: A stock-broker shall abide by all the provisions of theAct and the rules, regulations issued by the Government, the Board and the stock exchange fromtime to time as may be applicable to him.B. DUTY TO THE INVESTOR(1) Execution Of Orders: A stock-broker, in his dealings with the clients and the general investingpublic, shall faithfully execute the orders for buying and selling of securities at the best availablemarket price and not refuse to deal with a Small Investor merely on the ground of the volume ofbusiness involved. A stock-broker shall promptly inform his client about the execution or nonexecutionof an order, and make prompt payment in respect of securities sold and arrange forprompt delivery of securities purchased by clients.(2) Issue Of Contract Note: A stock-broker shall issue without delay to his client 42* [or client of subbroker]a contract note for all transactions in the form specified by the stock exchange.(3) Breach Of Trust: A stock-broker shall not disclose or discuss with any other person or makeimproper use of the details of personal investments and other information of a confidential nature ofthe client which he comes to know in his business relationship.(4) Business And Commission:(a) A stock-broker shall not encourage sales or purchases of securities with the sole object ofgenerating brokerage or commission.77
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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
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NCDEX CTCL ID :- Details to be Prov
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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 and 72: USEFUL WEB SITESwww.bseindia.comwww
Page 73 and 74: 25262728Statement of accounts Secur
Page 75: Code of conduct for Prevention of I
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
Page 123 and 124: AppendixCash Transaction ReportSusp
Page 125 and 126: 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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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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