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- Members Compliance Annexure - C
Members Compliance Annexure - C
- Members Homepage
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Non-NEAT Front End
- Introduction
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- UCC/PAN validation in Trading system
- Trading in T+0 Security
- Block Deal Window
- Sliding Price Bands
- Non Continuous Markets
Annexure C - List of Exhibits
Download Members Compliance Annexure - C
Exhibit - 1
| Client Registration Form/Documents | |
|---|---|
| I | Know Your Client (KYC) Application Form – Individual & non-individual |
| II | SARAL Account Opening Form for resident individuals |
Exhibit - 2
| Contract Note Format | |
|---|---|
| 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 | |
|---|---|
| I | Daily Margin Statement |
Exhibit - 4
| Pledging Statement Format | |
|---|---|
| I | Pledging statement |
Exhibit - 5
| Notice Board | |
|---|---|
| I | Notice Board Format |
Exhibit - 6
| Internal Audit of Trading Members | |
|---|---|
| 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
