Compliance Awareness Series

Volume Series Date of Issue PDF Format Download ZIP
1 Contract Notes 01-July-19
2 Legal Framework 01-July-19
3 Opening of Client Accounts 01-Aug-19
4 Books of Accounts, Registers & Records to be maintained by the Members 01-July-19
5 Advertisement by Members 01-July-19
6 Segregation of Funds and Pay-out 01-Aug-19
7 Charging of Brokerage from Clients 01-July-19
8 Investors’ Grievances and Notice Board 18-May-17
9 Requirement of Compliance Officer and MCCP 01-July-19
10 Requirement of Intimation to Exchange Regarding Certain Changes 21-Aug-17
11 Portfolio Management / Advisory not allowed 01-Aug-19
12 Unique Client Code (UCC) 18-May-17
13 Annual Return 1-Aug-19
14 Approved User for TWS 18-May-17
15 Collection of Margin from Clients 16-Aug-19
16 Anti Money Laundering
16-Aug-19 
17 Operation of Inactive Clients Account 18-May-17
18 Appointment of Authorised Person 21-Aug-17
19 Guidelines on Pre-Funded Instruments 01-Aug-19
20 BPO/KPO Services – Segregation thereof from Commodity Derivatives Market 01-Aug-19
21 Client Code Modification 18-May-17
22 Payout & Settlement of Funds 01-Aug-19
23 Hand Book & FAQs on Goods and Service Tax (GST) 11-Jul-17

Note: Members may please note that the Exchange issues various circulars and amends Bye-laws, Business Rules and Rules from time to time, keeping in view the requirements at various points in time as well as instructions received from SEBI. The above series is a compilation of various informal clarifications sent to members representing its position on various queries of the members on such circulars, Byelaws, Rules and Business Rules. Though every effort is made to make compilation accurate, Members are, requested to kindly refer to relevant circulars, Byelaws, Rules and Business Rules and amendments thereto subsequent to the issue of such informal clarifications, while referring to the above series.

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