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 :
- Change in Shareholding Pattern
- Change in Director’s & their details
- Change in member Contact details
- Change in compliance officer details etc….
- 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 persons compliance requirements related to Authorised & Sub-brokers
- . Preparation of initial documents of new intermediary / Franchisees to get them registered with Trading Member.
- . SEBI/Exchange Registration, Cancellation & Affiliation Documents of the sub-broker/Authorised Person’s.
- . Maintaining database of all Authorised Persons/Sub-brokers/Branches documents
- . Handling APs / Sub-broker/Branches queries related to compliance department.
- . Resolving the exchange queries for all statutory compliance related issues.
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