compliance guide - MCX

Compliance Guide5 Client Account Closure 23Chapter IVClientele Transactions1 Creation and allotment of Unique Client Code (UCC) 241.1 UCC Uploading to the Exchange 241.2 Allotting Single Client Code 242 Modification of Client Code 243 Brokerage 254 Portfolio Advisory and Management Services 265 Bank Accounts 276 Handling the Commodities of Clients for Deliveries 297 Margin Collection 298 Pre-Funded Instrument 319 Cash Dealings 3210 Issue of Statement of accounts/funds to Clients 3211 Inactive Clients 33Chapter VTrading System1 User Id and Approved Users 341.1. Approved users 341.2. User ID 342 Computer to Computer Link (CTCL) 342.1 Development of CTCL software 342.2. Some of the guidelines/requirements for use of CTCL terminals 353 Internet Based Trading (IBT) 354 Automated Trading Facility 355 Terminal Location 376 Antivirus Software 376.1 Regular backup of important data on the systems. 387 Pro-Account Trading Terminals 387.1 No. of Terminals 387.2 Approval from Exchange 398 System Audit of Algorithmic Trading Facility 39Chapter VIContract Notes1 Requirements on Issue of Contract Notes to Clients 40Chapter VIIMiscellaneous1 Trading Activity 42- 5 -