Compliance Procedure
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11 May, 2018 Listed Entities
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17 April, 2018 OUTSOURCING OF ACTIVITIES BY INTERMEDIARIES #
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17 April, 2018 DISPLAY OF NOTICE BOARD
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17 April, 2018 CONTRACT NOTE PROCEDURE #
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17 April, 2018 EXECUTION OF ORDER
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17 April, 2018 DEALING WITH INTERMEDIARIES PRECAUTION & SUPERVISION. #
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17 April, 2018 MARGIN COLLECTION & REPORTING
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17 April, 2018 CLIENTS RUNNING ACCOUNT SETTLEMENTS PROCEDURES #
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17 April, 2018 BOOKS OF ACCOUNTS (MAINTENANCE & PRESERVATION) PROCEDURE #
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17 April, 2018 PREVENTION OF MONEY LAUNDERING PROCEDURE
Model Query
- Q.
What is the New Surveillance Margin @25 percent imposed on trading of certain stock ?
Additional Surveillan..
17 Apr, 2018 . - Q.
What is the Current Status for Linking the Aadhaar card with client ?
A GAZETTE..
17 Apr, 2018 . - Q.
what is conflict of interest in Stock broking business ?
1.1 Conflict of ..
17 Apr, 2018 .