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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) 30 Jun 2020
2 Net worth requirements for members 30 Jun 2020
3 Books of Accounts, Registers & Records to be maintained by the Members 30 Jun 2020
4 Activities not permitted30 Jun 2020
5 Anti Money Laundering 30 Jun 2020
6 Authorised Persons 30 Jun 2020
7 Opening of Clients’ Accounts 30 Jun 2020
8 Unique Client Code 30 Jun 2020
9 Client Code Modifications 30 Jun 2020
10 Contract Notes 30 Jun 2020
11 Advertisements by Members 30 Jun 2020
12 Periodic Settlement of account of client by Member30 Jun 2020
13 Guidelines on Algorithmic Trading (ATS) / High Frequency Trade (HFT)30 Jun 2020
14 Imposition of Commodity Transaction Tax (CTT)30 Jun 2020
15 SMS & E-mail alerts to Clients30 Jun 2020
16 Delivery Logic30 Jun 2020
17 GST settlement - Procedure for exchange of Physical Delivery Information30 Jun 2020







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

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