ARG COMPLIANCE MANUAL - Rathi Online

Compliance Deadlines :BSE:Sr.No.Name of thereport/statement/certificate/dataDue Dates ResponsibleDept.1 ANNUAL SUBMISSIONHalf yearly AccountsAudit ReportNetworth CertificateNetworth Certificate - PCMAudited Accounts2 SSL Certificate for IBT Services 31-Jul Network3 Net worth certificate for the halfyearended March 31 / September304 Networth Certificate for MarginTrading facility5 Margin Trading ComplianceCertificate30-Jun31-Dec84Accounts30-AprAccounts31-Oct30-AprAccounts31-Oct6 Statement of Accounts Accounts7 Client Funding details 7 days from Operation TeamEOM8 Client details for Margin TradingOperation TeamFacilityBetween 9.00am to 12:00 amon next Tradingday9 Client Margin Reporting Between 9.00am to 12:00 amon next Tradingday10 Obligation Transfer File (OTR)* I upload 6.00pm, On T dayII upload 6.30pm, On T dayIII upload 9.30am, On T+1 day11 Client Direct Payout File (CPD)* On T+2 day by9.30 am12 CP Code Modification (CP)* On T day by4.45 pm13 Early Pay In (CEP) Clientallocation file*On T+2 day upto 10.30 am14 Pay in of Securities On T+2 day by10.30 am15 Pay in of Funds On T+2 day by10.30 am16 Bulk deals Execution (CM) On the sameday of trade17 Block Deals Reporting (CM) Between 5:30pm to 6:00 pm18 Unique Client Code (UCC) Prior tocommencementBO ProcessingTeamInstitutional BOProcessingTeamSettlementsTeamInstitutional BOProcessingTeamSettlementsTeamSettlementsTeamAccountsRiskManagementRiskManagementAccount OpeningTeam