Compliance Awareness Series

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

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 SEBI. 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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