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  Membership >  Compliance > Member Compliance Guide
For a quick reference on the key compliance requirements for members on the following subjects, please refer to the .PDF files linked.
Sr.No.DescriptionUpdated On(.pdf)
1 Shareholding / Dominant Promoter Group (DPG) 31 Dec 2019
2 Net worth requirements for members 31 Dec 2019
3 Books of Accounts, Registers & Records to be maintained by the Members 31 Dec 2019
4 Activities not permitted31 Dec 2019
5 Anti Money Laundering 31 Dec 2019
6 Authorised Persons 31 Dec 2019
7 Opening of Clients’ Accounts 31 Dec 2019
8 Unique Client Code 31 Dec 2019
9 Client Code Modifications 31 Dec 2019
10 Contract Notes 31 Dec 2019
11 Advertisements by Members 31 Dec 2019
12 Periodic Settlement of account of client by Member31 Dec 2019
13 Guidelines on Algorithmic Trading (ATS) / High Frequency Trade (HFT)31 Dec 2019
14 Imposition of Commodity Transaction Tax (CTT)31 Dec 2019
15 SMS & E-mail alerts to Clients31 Dec 2019
16 Delivery Logic31 Dec 2019
17 GST settlement - Procedure for exchange of Physical Delivery Information31 Dec 2019







Note: Members are requested to also refer to circulars, Bye-Laws, Rules and Regulations for detailed/latest compliance requirements.
 

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