Handling all statutory compliances of Trading Member with all exchanges
1. Member Activation & surrender procedure
2. Updating & getting approval of change in Trading Member details Like :
3. Submission of Annual returns
4. Submission of Quarterly compliance certificate
5. Submission of Yearly / Half yearly net worth Certificate
6. Submission of internal Audit report , RBS submissions Etc……
7. Co-ordinating in SEBI /Exchange inspections personscompliance requirements related to Authorised & Sub-brokers (LMSPL+AASPL+MCX+NCDEX)
8. Enrolling all users at NISM / NCFM / My MCX portal to get all mandatory certifications. I.e. Equity derivative Certification, SORM certification, Research Analyst, MCCP and NCFE etc...
9. Keeping records, files & database related to compliance department