ARG COMPLIANCE MANUAL - Rathi Online

On T+1 day16 Client Direct Payout File (CPD)* On T+2 day by9.30 am17 Reallocation of custodial Trades file (RC)* On T+1 day by9.30 am18 CP Code Modification (CP)* On T day by 4.45pm19 Client Code Modification File (CLD)* On T day by 4.45pm20 Early Pay In (CEP) Client allocation file* On T+2 day up to10.30 am21 Pay in of Securities On T+2 day by10.30 am22 Pay in of Funds On T+2 day by10.30 am23 Bulk deals Execution (CM) On the same dayof trade24 Block Deals Reporting (CM) Between 5:30 pmto 6:00 pm25 Unique Client Code (UCC) Prior tocommencementof Trading26 Contract notes have been issued to all Within 24 hrsconstituents27 Trading terminal details Prior to activationof trading terminal28 Application for Approved User Prior Approvalrequired29 Upload of CTCL IDs Activation / Deactivation Prior Approval/requiredShifting of CTCL Ids30 Members trading through other members Intimation / PriorApproval required31 Change in Shareholding/profit sharing pattern Prior Approval/ directors. Prior approval(CM & F&O)Required32 Advertisement. Prior approval required.(CM&F&O)seven days inadvance beforeits publication.33 Change in status and constitution Prior Approvalrequired34 Appointment of Authorized personal in F&O Prior Approvalsegmentrequired35 Appointment and change of ComplianceOfficerIntimation toExchange36 Appointment and change of Principal Officer Intimation toExchange37 Adoption of written procedures to implementthe anti money laundering provisions asenvisaged under the Anti Money LaunderingAct, 200238 Margin Trading in Cash Segment Prior ApprovalrequiredTeamSettlementsTeamInstitutionalBOProcessingTeamInstitutionalBOProcessingTeamBOProcessingTeamSettlementsTeamSettlementsTeamAccountsRiskManagementRiskManagementAccountOpeningTeamBOProcessingTeamNetworkCTCL Team/ NetworkCTCL TeamN. A.AccountsComplianceAccountsAccountOpeningTeam /OperationComplianceComplianceComplianceCompliance87