(Provide Attachment for the items where required)
• KYC Form- Individual
• KYC Form- Non Individual
• KYC Non Individual Annexure
• PMLA Policy
• Policies and Procedures (Mandatory)
• Risk Management Policy
•Policy regarding treatment of inactive accounts
• Employee Insider Trading Policy
• Application for closing of Trading account
• Dormant Account BSE & NSE
• Additional Literature for AML Requirements
• Internal Control Policy
• Risk Disclosure Document
• Modification and Error
• Do’s and Don’ts for Clients
• Client Guidance Documents
• Surveillance Policy
• Policy for Pre-funded Instruments
• Advisory KYC Compliance
• Investor Charter DP
• Investor _ charter _Stock Broker
• Investor complaints cell
• Documents In Vernacular Language
•Encouraging More Retail Investors To Participate In Voting On Motions Moved By Listed Companies
• Risk Disclosure In Dervative Segment
• Investor Complaints Data
• Advisory for investor