ARG COMPLIANCE MANUAL - Rathi Online

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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
19 Contract notes have been issuedto all constituentsof TradingWithin 24 hrsBO ProcessingTeam20 Trading terminal details Prior toactivation oftrading terminal21 Application for Approved User Prior Approvalrequired22 Upload of CTCL IDs Activation /Deactivation /Shifting of CTCL Ids23 Members trading through othermembers24 Change in Shareholding/profitsharing pattern / directors. Priorapproval(CM & F&O)25 Advertisement. Prior approvalrequired.(CM &F&O)Prior ApprovalrequiredIntimation /Prior ApprovalrequiredPrior ApprovalRequiredseven days inadvance beforeits publication.26 Change in status and constitution Prior Approvalrequired27 Appointment of Authorized Prior Approvalpersonal in F&O segment requiredNetworkCTCL Team /NetworkCTCL TeamN. A.AccountsComplianceAccountsAccount OpeningTeam /OperationCompliance28 Appointment and change ofCompliance OfficerIntimation toExchange29 Appointment and change of Intimation to CompliancePrincipal OfficerExchange30 Adoption of written procedures toComplianceimplement the anti moneylaundering provisions asenvisaged under the Anti MoneyLaundering Act, 200231 Margin Trading in Cash Segment Prior Approval Compliancerequired32 CTCL Facility Prior Approval CTCL Teamrequired33 Activation / Deactivation of Prior Approval N. A.Proprietary trading facilityrequired34 Application for providing IBT Prior Approval Networkrequired35 Display of Notice Board Compliance36 Display Copy of SEBI RegistratoinComplianceNo.37 Client Financial informationperiodically reviewed and updatedin KYC38 Maintainance of InvestorGreviance Register39 Payment of SEBI fees40 Statistics on Internet TradingAccount OpeningTeamCompliance85
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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
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FORMAT FOR CRF REQUISITIONDate :To,
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DOCUMENTARY REQUIREMENTS[ check the
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List of documents approved as Addre
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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 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: 45. Following part of clause B in S
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:
Page 127 and 128: SCOPE OF COMPLIANCECompliance requi
Page 129 and 130: Broad Areas CoveredMajor compliance
Page 131 and 132: REGISTRATION OF CLIENTS• Know You
Page 133 and 134: 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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