(A) LIST OF DOCUMENTS REQUIRE FOR INSPECTION – Every hard copy of documents should be signed by director authorised to sign.
- List of Books Maintained by member
- The networth certificate as on March 31, Certified by CA
- Shareholding Pattern/Profit Sharing Ratio as on March 31, Certified by CA and as on 30th November
- List of designated directors /Managing partners as on as on March 31, and as on 30th November List of designated Dominant Promoter Group as on as on March 31, and as on 30th November
- Details of Membership of other Commodity Exchanges, if any, in following format
Sr. No. |
Exchange |
Membership |
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No. |
Type |
UMC |
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- Whether member has made change in its constitution? if yes, Copy of approval obtained from Exchange
- List of Active Clients during the Inspection Period i.e. 1st April to 30th November.
- Sample copy of duly executed Member Client Agreements
- Sample copy of duly executed Member Sub-Broker Agreements
- Sample copy of Know Your Client Forms
- Sample copy of Risk Disclosure Documents
- Brokerage ledger for the period 1st April to 30th November
- Brokerage Rate of Clients
- A copy of running account authorization letters obtained from clients
- Detail List of Bank/Demat Accounts in following format
S. No. |
Name of Bank/Demat |
Account No. |
Purpose |
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- List of Inactive Client A/cs with closing balance as on 30th November
- Details of terminals (TWS & CTCL), the users approved and the ones actually operating the terminals and copy of approval letter obtained from exchange
- Sample copy of contract note issued by the member
- Copy of MCCP Certificate
- Copy of FMC Certificate
- Copy of first Contract Note as on 1st April …and as on 1st April
- Proof of delivery of Contract Note
- Register of Transactions
- Bank ledgers for Own and client account
- Margin Deposit Book
- Register of Complaints.
- Copy of latest Annual Returns submitted to the Exchange
- List of authorized person to sign on the contract note
- Copy of latest Annual Compliance Report submitted to the Exchange
- Statement of Client and Settlement Bank A/c
Regards,
ketan joshi