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- Members Compliance Annexure - C
Members Compliance Annexure - C
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Annexure C - List of Exhibits
Download Members Compliance Annexure - C
Exhibit - 1
Client Registration Form/Documents | |
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I | Know Your Client (KYC) Application Form – Individual & non-individual |
II | SARAL Account Opening Form for resident individuals |
Exhibit - 2
Contract Note Format | |
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I | Contract Note Format For Equity & Derivative Segment |
II | Contract Note Format For Negotiated Trade in Debt Segment and Negotiated trade as principal |
III | Format of contract note for cross currency Derivatives contracts |
IV | Clarification on Brokerage, Statutory Levies and Regulatory Levies & Charges |
Exhibit - 3
Daily Margin Statement Format | |
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I | Daily Margin Statement |
Exhibit - 4
Pledging Statement Format | |
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I | Pledging statement |
Exhibit - 5
Notice Board | |
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I | Notice Board Format |
Exhibit - 6
Internal Audit of Trading Members | |
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I | Certificate For Internal Audit |
Exhibit - 7
List of common violations and applicable penalties in respect of violations observed during inspections or otherwise in CM Segment, WDM, F&O segments and CD Segment)
Updated on: 02/01/2023