slogan
  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) 28 Jun 2019
2 Net worth requirements for members 28 Jun 2019
3 Books of Accounts, Registers & Records to be maintained by the Members 28 Jun 2019
4 Activities not permitted28 Jun 2019
5 Anti Money Laundering 28 Jun 2019
6 Authorised Persons 28 Jun 2019
7 Opening of Clients’ Accounts 28 Jun 2019
8 Unique Client Code 28 Jun 2019
9 Client Code Modifications 28 Jun 2019
10 Contract Notes 28 Jun 2019
11 Advertisements by Members 28 Jun 2019
12 Portfolio Management / Advisory Services 28 Jun 2019
13 Periodic Settlement of account of client by Member28 Jun 2019
14 Guidelines on Algorithmic Trading (ATS) / High Frequency Trade (HFT)28 Jun 2019
15 Imposition of Commodity Transaction Tax (CTT)28 Jun 2019
16 SMS & E-mail alerts to Clients28 Jun 2019
17 Delivery Logic28 Jun 2019
18 GST settlement - Procedure for exchange of Physical Delivery Information28 Jun 2019







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

  About us | Privacy Policy | Regd. Trademarks | News & Press | Careers | Technology | Downloads | Training Request | FeedBack | Disclaimer | NCDEXSPOT.com | NICR.com | Contact Us  
 
Connect With NCDEX  
somethingfresh.in
  Connect With SEBI  
 © 2003 - 2018 National Commodity & Derivatives Exchange Ltd.