ARG COMPLIANCE MANUAL - Rathi Online

NSE:Sr.Name of theDue Dates ResponsibleNo. report/statement/certificate/dataDept.1 Systems Audit Report Half yearly Compliance2 ANNUAL SUBMISSION30-SepAccounts*Annual Accounts - Balance Sheet, P&L,Annual report, Auditors report*C-1 Networth Certificate alongwith therelevant computationC-2 Details of Stock Exchange membershipC-3 Details of directors/proprietorC-6 Details of shareholding pattern/sharingpattern*C-7 Details of Dominant GroupC-8 Undertaking for Relative Support to theDominant GroupC-9 Listing details of trading membercorporates*mandatory3 Proof of Indemnity Insurance cover 31-Jul Accounts4 SSL Certificate for IBT Services 31-Jul Network5 Annual Compliance Report as on March 31 30-Jun Compliance6 Renewal of Certificate of Membership fromAccountsNSE7 Net worth certificate for the half-year ended 30-JunAccountsMarch 31 / September 3031-Dec8 Networth Certificate for Margin Trading facility 30-AprAccounts31-Oct9 Margin Trading Compliance Certificate 30-AprAccounts31-Oct10 Statement of Accounts to Clients Accounts11 Client Funding details 7 days from EOM OperationTeam12 Client details for Margin Trading Facility Before 9:00 pmon the trade dayOperationTeam13 Client Margin Reporting Within two daysfrom trade dateBOProcessing14 Obligation Transfer File (OTR)* I upload 6.00 pm,On T dayII upload 6.30 pm,On T dayIII upload 9.30am, On T+1 day15 Contraction of custodial Trades file (CC)* I upload 6.30 pm,On T dayII upload 9.30 am,86TeamInstitutionalBOProcessingTeamInstitutionalBOProcessing