compliance guide - MCX

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Compliance GuideCIRCULAR NO. DATE SUBJECTMCX/T&S/093/2013 March 7, 2013 SMS & E-mail Alert to End ClientsMCX/T&S/050/2013 February 13, 2013 SMS & E-mail Alert to End ClientsMCX/T&S/402/2012 November 30, 2012Not Allowing of Algo/ High FrequencyTrade (HFT) in Mini and Micro ContractsMCX/MEM/230/2012 June 25, 2012 Authorized persons - Processing FeesMCX/MEM/181/2012 May 4, 2012 Prior Approval RequirementMCX/CTCL/152/2012 April 16, 2012MCX/LEGEL/137/2012 April 9, 2012MCX/LEGEL/138/2012 April 9, 2012MCX/CTCL/132/2012 April 4, 2012MCX/FIN-ACCT/111/2012March 27, 2012MCX/MEM/092/2012 March 15, 2012MCX/COMP/052/2012 February 14, 2012MCX/MEM/044/2012 February 2, 2012Approval process for Internet BasedTrading (IBT) and Wireless TradingAmendment to Bye Law 15.11 onLimitation Period for Reference toArbitrationAmendment to Bye Law 15.11 onLimitation Period for Reference toArbitrationCompliance Certificate for AutomatedTrading Facility (ATF)Members Indemnity Insurance PolicyPrior Approval from Forward MarketsCommission (FMC)Quarterly Settlement of account of clientby MemberMarket Access through Authorised Person- Revised GuidelinesMCX/T&S/014/2012 January 12, 2012 Guidelines for Clubbing of Open PositionsMCX/T&S/483/2011 December 29, 2011 Client Code ModificationMCX/COMP/469/2011 December 22, 2011MCX/C&S/443/2011 December 5, 2011Common/Uniform Client RegistrationForm/ProcessCollection of Stamp Duty on Un-ginnedCotton, Bullions, Spice, Oil Seeds, Yarn,etc.MCX/LEGAL/404/2011 November 3, 2011 Revised Format of Contract Notes- 50 -
Compliance GuideCIRCULAR NO. DATE SUBJECTMCX/COMP/358/2011 October 11, 2011Segregation of Client Accounts inCommodity Futures ExchangeMCX/T&S/355/2011 October 10, 2011 Unique Client CodeMCX/COMP/348/2011 October 4, 2011Guidelines on pre - funded instruments(Pay Orders and DemandDrafts)/Electronic Fund TransferMCX/T&S/343/2011 September 30, 2011 Client Code ModificationMCX/T&S/314/2011 September 14, 2011 Proprietary TradesMCX/COMP/256/2011 July 20, 2011Delivery of Contract Notes to clients -Revised InstructionsMCX/C&S/214/2011 June 9, 2011 Margin Collection from ClientsMCX/C&S/223/2012 June 9, 2011MCX/TECH/149/2011 April 28, 2011MCX/COMP/127/2011 April 16, 2011MCX/TECH/110/2011 April 1, 2011MCX/FIN-ACCT/099/2011March 28, 2011Collection of Stamp Duty - Securityrelated transactionAutomated Trading Facility through CTCLSoftwareBPO, KPO services / Segregation thereoffrom Commodity Derivatives MarketAutomated Trading Facility through CTCLSoftwareMembers Indemnity Insurance PolicyMCX/T&S/074/2011 March 12, 2011 Unique Client CodeMCX/MEM/047/2011 February 23, 2011 Nomenclature of Authorised PersonsMCX/COMP/046/2011 February 23, 2011 Compliance Requirements for MembersLevy and Collection of Stamp Duty onMCX/COMP/019/2011 January 19, 2011 Trading Transaction of Goods/CommoditiesMCX/MEM/002/2011 January 3, 2011Market Access through AuthorisedpersonsComputer to Computer Link (CTCL) /MCX/CTCL/433/2010 December 10, 2010 Internet Based Trading (IBT) servicesthrough ASPMCX/COMP/429/2010 December 4, 2010 Margin MoneyMCX/MEM/428/2010 December 1, 2010Market Access through Authorisedpersons- 51 -
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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
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Page 19 and 20: Compliance Guidearbitration of the
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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
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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: Compliance GuideMCX/COMP/349/2013 O
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