ARG COMPLIANCE MANUAL - Rathi Online

More documents

Recommendations

Info

Note:01 Cancellation of Authorised Person :- Give Name of the Person02 Cancellation of CTCL User id03 Surrender of Vsat/VPN04 Document give to the Compliance department for cancellation of franchises05 List of Clients and Details of Payment and Recd / Paid – Must be zero06 List of Clients and their CRF must be submit to the Compliance Department07 Undertaking from franchises for no claim due from clients if any claim will raise he will be responsible08 Deposit must be pay after 6 month of cancellation96
CHECKLISTFor Individuals/Sole ProprietorNSENo Completeness of Application Form Y/N1 Registration Fee of Rs 10000/- Favoring SEBI(Ensure DD is Valid for next 4 months)2 Application form for Registration with SEBI – „Form B‟3 Recommendation letter to be given by the Trading Member on Letterhead – Form C4 Copy of Agreement between trading member and sub-broker on stamp paper as per Cir. Ref. No. NSE/INSP/5387,Dt.27-08-20045 Reference letter from the Applicant‟s Banker6 Reference letter from any other Third Party (Such as CA or Lawyer/Notary/other Stock Broker)7 Declaration from Sub-Broker about Non-Conviction or presently not under trial for any offence (On the letterhead of thesub broker)8 Undertaking from Sub-Broker about Dealing directly with investors (On the letterhead of the sub broker)9 Confirmation from sub-broker that he has not applied through any other TM (On the letterhead of the sub broker)10 Annexure J or K – Letter from Trading Member to NSE giving Undertaking about dealing in fake and forged shares bythe sub-broker11 Annexure I – Letter from trading member undertaking to settle the obligations of the sub-broker12 Annexure O – Certificate from sub broker relating to shareholding pattern and crossholding as per Cir.Ref. No.NSE/MEM/7157, dt. 09-02-200613 Annexure 3– Undertaking for “Fit & Proper Person” as per Cir. Ref. No. NSE/MEM/7743, dt. 09-08-2006Eligibility Criteria13 Qualifications – Minimum HSC Passed or Equivalent14 Applicant should be Resident of India..15 Proof of age (Either School Leaving / Birth / SSC Certificate / PAN card) – To be above 21 years of age16 Proof of name change - if applicable (Certified Copy of Marriage Certificate/ Affidavit)17 Applicant holding more than 10% isNot a TM of the ExchangeNot a shareholder/ Partner of any other TMNot an Authorised Person of any other TMNot a Dominant shareholder/ partner of any other Authorised PersonNot a registered Sub-broker of any other TMNot a shareholder/ Partner of a registered Sub-brokerNot having a cross holding of 10% or more with any other TM/SB/APNot a director of the trading memberNot appearing in the JPC reportNot appearing in the NOC Excel Sheet18 Sub-Broker is:Not a defaulter in any other Stock Exchange.Not appearing in SEBI debarred Directors/ Vanishing Companies List20 TM is not disabled or suspended or any disciplinary action has been taken21 Not appearing in CIS and Non CIS list22 Not appearing in CIBIL database23 Check if the sub broker is an active AP in CM Segment & if applicant is registered/application is returned, cancel the APin CM SegmentChecked by: NOC Sent On: DSU on:BSECHECKLIST FOR SUBMITTING DOCUMENTS FOR SUB-BROKER REGISTRATION BY INDIVIDUAL/PARTNERSHIP/CORPORAPPLICANT1 Application in the prescribed format (available on website bseindia.com) for obtaining recognition as sub-broker withMember of BSE Ltd., duly signed/stamped by the applicant together with the DD of Rs.10000/- in favour of SEBI as aregistration fee of SEBI for the block of five years.97
Page 1 and 2:
COMPLIANCEMANUAL
Page 3 and 4:
ACTIVITY SCHEDULE FOR BRANCH OPENIN
Page 5 and 6:
DISPLAY OF NOTICE BOARDNote: 1. All
Page 7:
NOTICE BOARD:BSE1. Name of the Trad
Page 10 and 11:
1 Name of the Trading Member(Commod
Page 12 and 13:
CONTRACT NOTES (CN) & APPOINTMENT O
Page 14:
- BSE-AUTHORISATION FOR SIGNING CON
Page 18 and 19:
Procedure to be followed by branche
Page 20 and 21:
Trading terminals to be located at
Page 22 and 23:
NCDEX CTCL ID :- Details to be Prov
Page 24 and 25:
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 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 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: Final ApprovalJugal Mantri(Group CF
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
Page 135 and 136: REGISTRATION OF CLIENTS (Coned…)S
Page 137 and 138: REGISTRATION OF CLIENTS (Coned…)S
Page 139 and 140: REGISTRATION OF CLIENTS (Contd…)U
Page 141 and 142: DEALING WITH CLIENTS (contd..)Compl
Page 143 and 144: DEALING WITH CLIENTS (contd..)Funds
Page 145 and 146: DEALING WITH CLIENTS (contd..)State
Page 147 and 148:
DEALING WITH CLIENTS (contd..)Margi
Page 149 and 150:
DEALING WITH CLIENTS (contd..)Strai
Page 151 and 152:
Compliances relating toTrading requ
Page 153 and 154:
MARGIN TRADING• Maintenance of se
Page 155 and 156:
Financing of securities transaction
Page 157 and 158:
INTERNET TRADING• Client specific
Page 159 and 160:
OFFICE MANAGEMENT (contd..)Complian
Page 161 and 162:
OFFICE MANAGEMENT (contd..)Complian
Page 163 and 164:
Prevention of Money Laundering Act,
Page 165 and 166:
Compliances relating toDealing with
Page 167 and 168:
DEALING WITH INTERMEDIARIES(Contd..
Page 169 and 170:
Compliances relating toMembership R
Page 171 and 172:
MEMBERSHIP REQUIREMENT• Trading m
Page 173 and 174:
MAINTENANCE OF BOOKSAND RECORDS Sec
Page 175 and 176:
MAINTENANCE OF BOOKSAND RECORDS (Co
Page 177 and 178:
Page 179 and 180:
Page 181 and 182:
Compliances relating toCode of Cond
Page 183 and 184:
CODE OF CONDUCT (Contd…)Misconduc
Page 185 and 186:
CODE OF CONDUCT (Contd…)Unprofess
Page 187 and 188:
OBLIGATIONS OF A TRADINGMEMBER (con
Page 189 and 190:
RIGHTS OF THE INSPECTINGOFFICIALS (
Page 191 and 192:
PERIODIC SUBMISSIONSMonthly Submiss
Page 193 and 194:
Trading members to comply with the
Page 195 and 196:
CommoditiesContents1 Maintenance Of
Page 197 and 198:
1.2. Trade FilesTrade file is downl
Page 199 and 200:
(Applicable to Corporate Entity), C
Page 201 and 202:
a) As per Bye-law 8.6.5, the member
Page 203 and 204:
trading system after submission of
Page 205 and 206:
11. HANDLING THE COMMODITIES OF CLI
Page 207 and 208:
13.3 Advertisementa) Member of the
show all

ARG COMPLIANCE MANUAL - Rathi Online

Create successful ePaper yourself

Delete template?

Save as template?