compliance guide - MCX

More documents

Recommendations

Info

Compliance GuideLog of Trades/client code modification:All the trade/client code modifications should be reported to Exchange. Further members arerequired to maintain the records of such trade/client code modifications done at the Exchangeplatform. It may be noted that any trade/client code modification should be done only forgenuine punching error and not for any non genuine purpose. Members may refer to theChapter IV, point 2 of this compliance guide for further details.2.9 Register of CommodityA Member is also required to maintain a Register of Commodities where delivery taken/receivedCommodity wise and client wise is maintained.The Member shall mandatorily comply with the Exchange requirement of maintaining a Registerof Commodities in the event of delivery being given / taken. The details of deliverytaken/received must be reflected as Commodity-wise and Client-wise in the Register asfurnished below:Register of CommodityCommodityContractSymbolDateofreceiptfromtheExchangeDate ofdeliverytoClientToWhomdeliveredPurposeQuantityreceivedfromtheExchangeinlotsQuantityreceivedfromtheExchangein KgQuantitydeliveredtotheClient inlotQuantitydelivered totheClientin KgBalanceQuantityPriceatwhichthecommodityreceivedWhetherreceivedatPremium/Discount/ or onpriceAmountofPremium orDiscountRemarks2.10 Register of ComplaintsMembers should maintain a register of complaint where the Member should keep a record of allwritten complaints received from clients, showing the name and UCC of the client, date andparticulars of the complaint, action taken by the Member and whether the matter is referred to- 18 -
Compliance Guidearbitration of the Exchange, the particulars thereof must be mentioned as per Bye-laws, Rules,Regulations, Circular No. MCX/COMP/304/2007 dated September 01, 2007 of the Exchange.The Member shall maintain a Register of Complaints and also ensure that no complaintin the register is pending for more than such number of days as specified by the Byelaws,Rules, Regulations, Circular No. MCX/012/2006 dated January 12, 2006.- 19 -
Page 5: Compliance Guide5 Client Account Cl
Page 9 and 10: Compliance Guide2. Appointment of A
Page 11 and 12: Compliance GuideThe Member will dis
Page 13 and 14: Compliance Guide‣ The Authorised
Page 15 and 16: Compliance Guide‣ Bank Reconcilia
Page 17: Compliance GuideMembers must ensure
Page 21 and 22: Compliance Guide‣ Authorization s
Page 23 and 24: Compliance Guide4. List of Do’s a
Page 26 and 27: Compliance GuideA trading member sh
Page 29 and 30: Compliance Guide6. Handling the Com
Page 31: Compliance GuideUtilization of Marg
Page 35 and 36: Compliance Guide2.2 Some of the gui
Page 37 and 38: Compliance Guideas mentioned in the
Page 39 and 40: Compliance Guidethe Exchange platfo
Page 41 and 42: Compliance Guideconstituents subjec
Page 43 and 44: Compliance Guidedated March 18, 201
Page 45 and 46: Compliance Guide13. Compliance with
Page 47 and 48: Compliance GuideKPO services to for
Page 49 and 50: Compliance GuideMCX/COMP/349/2013 O
Page 51 and 52: Compliance GuideCIRCULAR NO. DATE S
Page 53 and 54: Compliance GuideCIRCULAR NO. DATE S
Page 55: Compliance GuideCIRCULAR NO. DATE S

compliance guide - MCX

Create successful ePaper yourself

Delete template?

Save as template?