Compliance with Stock broker

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·         Looking and complying of Client’s Agreement, Demat Opening, KYC Opening, Front Office & Back Office. 

·       Verification and scrutiny of application towards Registration and Dis-association of Associates (Sub-Brokers / Authorized Persons / Remiser) with BSE, NSE, NCDEX MCX, MCX-SX and SEBI.

·         Verification for application form and supporting documents to open the trading accounts and demat account of investors.  

·         KRA Registration of Clients with CVL of CDSL, NDML of NSDL, Dotex of NSE, CAMPS and Karvy.

·         CDSL compliance, Bo Grievance Report and Suspicious Transaction Report to FIU-IND.

·         Looking after Collateral, Initial Margin and Exposure Margin of Clients. 

·         Bse-Webx (Online Trading of BSE), ODIN

·         Updating of UCC under NSE , BSE , NCDEX, MCX, MCX-SX 

·         Answering Query of SEBI, BSE & NSE since 14^th January 2004 and FMC, NCDEX, MCX-SX, MCX since 1^st January, 2008

·         Handling Internal Audit Report, CTCL Report, Concurrent Audit CDSL of respective Exchanges / Depository and Sub-Brokers, Authorised Person , Remiser registration with the Exchanges.

·         Submitting dissemination of tariff / charge structure Every year to the CDSL.

·         Handling Internet Trading Report on weekly basis and uploading same to BSE and NSE.

□    Replying any Query of Clients, Sub-Brokers, Authorised Persons, Remisers, SEBI, FMC, Exchanges.

□    Arbitration Case.

□    AML related activities.

□    Compliance Report related Branch, Authorised Person, Sub-Brokers.

□    Replying and looking after Observation Caution letters received from Exchanges based on trading of clients.

□    Quarterly Compliance Report to the Exchange - Surveillance Obligations.

□    Looking after Internal Audit Report, CTCL (System Audit) Report

□    Reviewing Policy and KYC for all the exchanges

□    Risk Based Supervision – Submission to Exchange and CDSL

□    FATCA - Complying with guidelines of FATCA for NRI Clients.

□    Quarterly Submission of Execution of Orders report to the Exchange