Policies & Procedures
1 Rights and Obligations of Stock Broker, Sub Broker and Client for Trading on Exchanges( Including Additional rights & obligations in case of Internet/Wireless Technology based trading)
2 Rights and Obligations of Beneficial Owner and Depository Participant as prescribed by SEBI and depositories
3 Uniform Risk Disclosure Documents (for all segments/exchanges)
4 Guidance Note detailing Do’s & Don’ts for trading on stock exchanges
5 Policy on Pre Funded Instruments
6 Police of Treatment of In Active Clients
7 Policy on Internal Control
8 Policy of Insider Trading
9 Policy of PMLA
10 Policy on RMS
11 Policy on Prohibition on Circulation of Un authenticated News.
12 Policy on KYC & its Procedure.
13 Policy on Limit Setting
14 Operations Manual
15 Conflicts of Interest Policy
16 Client Code Modification, Error Policy