FORMS

TRADING SOFTWARE

POLICIES

  • Anti Money Laundering

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  • Audit Trail Policy

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  • Code Modification Policy

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  • Risk Categorisation Policy

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  • Risk Disclosure Doc Of DP<

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  • Risk Management And Internal Control

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  • Policy And Procedure

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  • Policy On Unauthenticated

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  • Policy on Prefunded Instrument and Electronic Fund Transfer

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  • Policy Regarding Inactive (Dormant) Accounts

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  • Internal Control Policy & Procedures

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  • PMLA Policy as on 31072018

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  • Policy for Identification of Beneficial Ownership

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  • Policy on Pre-Funded Instruments/Electronic Fund Transfer

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  • RMS Policy

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  • Policy For Unauthenticated News

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  • Internet & Wireless Technolgy Based Trading Facility Provided By Stock Brokers To Clients

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  • Annexure 6 - Do's and Dont's for Trading on the Exchange(s) for Investors

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  • Annexure 4 - Rights and Obligations of Stock brokers, Sub-brokers and clients

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  • Annexure 5 - Risk Disclosure document for Capital market and Derivatives Segment

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  • Annexure 7 - Policies and Procedures

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