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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: 05/02/2020 12:00
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