Compliance Awareness Series

Volume Series Date of Issue PDF Format Download ZIP
1 Contract Notes 09-Feb-09
1.1 Contract Notes 06-Feb-12
1.2 Contract Notes 25-Jan-13
2 Legal Framework 07-Jan-13
3 Opening of Client Accounts 19-Feb-09
3.1 Opening of Client Accounts 09-Nov-10
3.2 Opening of Client Accounts 08-Mar-13
4 Books of Accounts, Registers & Records to be maintained by the Members 07-Jan-13
5 Advertisement by Members 07-Jan-13
6 Segregation of Funds and Pay-out 12-Mar-09
6.1 Segregation of Funds 08-Jan 13
7 Charging of Brokerage from Clients 19-Mar-09
7.1 Charging of Brokerage from Clients 04-Feb-11
7.2 Charging of brokerage from clients 06-Dec-12
7.3 Charging of Brokerage from Clients 16-Jan-13
8 Sub- Brokers/ Franchisees Discontinued via Circular on Authorised Person 07-Aug-10
9 Investors’ Grievances and Notice Board 02-Apr-09
9.1 Investors’ Grievances and Notice Board 10-Jan-13
10 Requirement of Compliance Officer and MCCP 07-Jan-13
11 Requirement of Intimation to Exchange Regarding Certain Changes 16-Apr-09
11.1 Requirement of Intimation to Exchange Regarding Certain Changes 31-Jan-13
12 Portfolio Management / Advisory not allowed 07-Jan-13
13 Unique Client Code (UCC) 01-Feb-12
13.1 Unique client Code (UCC) 16-Jan-13
14 (A) Annual Compliance Report 09-Jan-13
14 (B) Annual Return 12-Oct-12
15 Approved User for TWS 14-May-09
15.1 Approved Users for TWS 16-Jan-13
16 Collection of Margin from Clients 24-July-09
16.1 Collection of Margin from Clients 06-Feb-12
16.2 Collection of Margin from clients 06-Dec-12
16.3 Collection of Margin from Clients 10-Jan-13
17 Anti Money Laundering
13-Aug-10
17.1 Anti Money Laundering
09-Jan-13
18 Operation of Inactive Clients Account 07-Jan-13
19 Appointment of Authorised Person 04-Feb-11
19.1 Appointment of Authorised Person 09-Jan-13
20 Guidelines on Pre-Funded Instruments 07-Jan-13
21 BPO/KPO Services – Segregation thereof from Commodity Derivatives Market 07-Jan-13
22 Client Code Modification 07-Jan-13
23 Payout & Settlement of Funds 08-Jan 13
24 Segregation of Client Account in Future & Spot Exchanges 08-Jan 13

Note: Members may please note that the Exchange issues various circulars and amends Bye-laws, Business Rules and Rules from time to time, keeping in view the requirements at various points in time as well as instructions received from FMC. The above series is a compilation of various informal clarifications sent to members representing its position on various queries of the members on such circulars, Byelaws, Rules and Business Rules. Though every effort is made to make compilation accurate, Members are, requested to kindly refer to relevant circulars, Byelaws, Rules and Business Rules and amendments thereto subsequent to the issue of such informal clarifications, while referring to the above series.

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