| 1 |
Beneficial Ownership |
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| 2 |
Client Code Modification |
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| 3 |
Code of Conduct For Prevention of Insider Trading |
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| 4 |
Conflict of Interest |
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| 5 |
Granting Exposure to Clients |
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| 6 |
Inactive - Dormant Account |
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| 7 |
Internal Control system |
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| 8 |
Investor Greivance Policy |
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| 9 |
Limit Setting |
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| 10 |
Margin Collection & Margin Reporting |
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| 11 |
NISM SERIES VII SORM |
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| 12 |
PMLA |
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| 13 |
Pre Funded Instruments |
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| 14 |
Risk Management Policy |
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| 15 |
Surveillance |
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| 16 |
System & Process |
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| 17 |
Unauthenticated News Circulation |
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| 18 |
Voluntary Freezing or Blocking of Trading Account |
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