Compliance with Stock broker

  Sent C.V with Photo on Info@busybig.com. For queries call - 8080704539 from Samir (Busybig.com)

·         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 14th January 2004 and FMC, NCDEX, MCX-SX, MCX since 1st 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

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