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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 2018
2 Net worth requirements for members 31 Dec 2018
3 Books of Accounts, Registers & Records to be maintained by the Members 31 Dec 2018
4 Activities not permitted31 Dec 2018
5 Anti Money Laundering 31 Dec 2018
6 Authorised Persons 31 Dec 2018
7 Opening of Clients’ Accounts 31 Dec 2018
8 Unique Client Code 31 Dec 2018
9 Client Code Modifications 31 Dec 2018
10 Contract Notes 31 Dec 2018
11 Advertisements by Members 31 Dec 2018
12 Portfolio Management / Advisory Services 31 Dec 2018
13 Periodic Settlement of account of client by Member31 Dec 2018
14 Guidelines on Algorithmic Trading (ATS) / High Frequency Trade (HFT)31 Dec 2018
15 Imposition of Commodity Transaction Tax (CTT)31 Dec 2018
16 SMS & E-mail alerts to Clients31 Dec 2018
17 Delivery Logic31 Dec 2018
18 GST settlement - Procedure for exchange of Physical Delivery Information31 Dec 2018







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

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