compliance guide - MCX

Compliance GuideEvery Member of the Exchange is required to take prior approval of the Exchange or willpromptly notify the Exchange in writing (as the case may be) about any change in theinformation provided by the Member of the Exchange at the time of admission or at a laterstage to the Exchange as per relevant Circulars, Rules, Bye Laws and Business Rules. Suchchanges include:‣ Change in constitution‣ Change in trade name‣ Change in share holding pattern / sharing pattern‣ Change in Dominant Promoter Group‣ Change in Directors/ Managing Partners‣ Change in address (both registered and correspondence)‣ Change in contact details‣ Change in Compliance Officer / Principal OfficerDocuments required to be submitted for the aforesaid changes are available on website at linkwww. mcxindia.com /membershipMembers are required to obtain prior written permission of the Exchange for any change inshareholding /sharing pattern / Dominant Promoter Group (DPG) except when such change inshareholding / sharing pattern (Refer Rule 26(b) and Circular No. MCX/MEM/132/2008 datedApril 15, 2008):‣ Does not alter the shareholding /sharing of DPG constituents in percentage terms‣ Does not lead to addition or deletion of a DPG constituent‣ Does not result in change in management/ control- 8 -