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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 Sep 2019
2 Net worth requirements for members 30 Sep 2019
3 Books of Accounts, Registers & Records to be maintained by the Members 30 Sep 2019
4 Activities not permitted30 Sep 2019
5 Anti Money Laundering 30 Sep 2019
6 Authorised Persons 30 Sep 2019
7 Opening of Clients’ Accounts 30 Sep 2019
8 Unique Client Code 30 Sep 2019
9 Client Code Modifications 30 Sep 2019
10 Contract Notes 30 Sep 2019
11 Advertisements by Members 30 Sep 2019
12 Portfolio Management / Advisory Services 30 Sep 2019
13 Periodic Settlement of account of client by Member30 Sep 2019
14 Guidelines on Algorithmic Trading (ATS) / High Frequency Trade (HFT)30 Sep 2019
15 Imposition of Commodity Transaction Tax (CTT)30 Sep 2019
16 SMS & E-mail alerts to Clients30 Sep 2019
17 Delivery Logic30 Sep 2019
18 GST settlement - Procedure for exchange of Physical Delivery Information30 Sep 2019







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

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