MCX-Inspection Audit.

(Guest)

(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 30^th November
List of designated directors /Managing partners as on as on March 31, and as on 30^th November List of designated Dominant Promoter Group as on as on March 31, and as on 30^th November
Details of Membership of other Commodity Exchanges, if any, in following format

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. 1^st April to 30^th 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 1^st April to 30^th November
Brokerage Rate of Clients
A copy of running account authorization letters obtained from clients
Detail List of Bank/Demat Accounts in following format

List of Inactive Client A/cs with closing balance as on 30^th 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 1^st April …and as on 1^st 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