It is the policy of the firm to prohibit and actively prevent money laundering and any activity that facilitates money laundering or the funding of terrorist or criminal activities. Money laundering is generally defined as engaging in acts designed to conceal or disguise the true origins of criminally derived proceeds so that the unlawful proceeds appear to have derived from legitimate origins or constitute legitimate assets.

The firm has designated Shri. The Principal Officer will also ensure that proper AML records are kept. When warranted, the Principal Officer will ensure filing of necessary reports with the Financial Intelligence Unit FIU — IND.

The firm has provided the FIU with contact information for the Principal Officer, including name, title, mailing address, e-mail address, telephone number and facsimile number. The firm will promptly notify FIU of any change to this information. At the time of opening an account or executing any transaction with it, the firm will verify and maintain the record of identity and current address or addresses including permanent address or addresses of the client, the nature of business of the client and his financial status as under.

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Suspicious transaction means a transaction whether or not made in cash which, to a person acting in good faith - o gives rise to a reasonable ground of suspicion that it may involve the proceeds of crime; or o appears to be made in circumstances of unusual or unjustified complexity; or o appears to have no economic rationale or bonafide purpose; or o gives rise to a reasonable ground of suspicion that it may involve financing of the activities relating to terrorism records shall contain the following information: If you donot have mobile number,enter Landline Number.

Only those new clients would be accepted and allowed to trade with us, who would be referred to us by any of the following: The copy of the CRF will also be accompanied with the list of documents and additional documents or proofs required.

The client code generated will be communicated to the client after completion of entire procedure. Client Identification The following procedure should be adopted for identification of Client: No trading will be allowed unless the proof of PAN proof is submitted by the client.

Branch Office for Stock Broker Jamnadas Virji Shares And Stock Brokers Pvt. Ltd. in Mumbai,MH by Derrick Durante

If the user fails to renew the certificate then he would not be allowed to operate the same any further. The renewed copy of the certificate will be re-obtained and verified with original. It would be made sure that there is no issue of trading terminals to unauthorized persons or at unauthorized locations. If required the client will be asked to stop such kind of malfunctioning or may be even asked to stop trading.

No client information would be given except if required by law. A specific designated email ID is created for customers complain and shall be regularly monitored by the compliance officer. We take margin deposit from trading clients and also deposit the same with BSE as Additional Base Capital which goes towards meeting their margining requirements. For clients delivery based transactions, wherever necessary we take advance shares or funds as the case may be.

In many instances we have done pre pay-in of large quantity of shares sold by clients in order to meet high margins. Another good feature that has been put in place by regulators is to bring the CM segment margining in line with FO segment i. That has brought a great relief to us brokers and reduced the risk of bad debts. So the risk is very well controlled. CODE OF CONDUCT 1. Price Sensitive Information should be disclosed only to those within the organization who need the information to discharge their duty and whose possession of such information will not give rise to a conflict of interest or appearance of misuse of the information.

Computer files must have adequate security of login and pass word, etc. The dealing room shall be separated from the back office and other departments. The following trading restrictions shall apply for trading in securities: In the case of IPOs, the holding period would commence when the securities are actually allotted.

Firm Policy It is the policy of the firm to prohibit and actively prevent money laundering and any activity that facilitates money laundering or the funding of terrorist or criminal activities. Principal Officer Designation and Duties The firm has designated Shri.

When warranted, the Principal Officer will ensure filing of necessary reports with the Financial Intelligence Unit FIU — IND The firm has provided the FIU with contact information for the Principal Officer, including name, title, mailing address, e-mail address, telephone number and facsimile number. Customer Identification and Verification At the time of opening an account or executing any transaction with it, the firm will verify and maintain the record of identity and current address or addresses including permanent address or addresses of the client, the nature of business of the client and his financial status as under Constitution of Client Proof of Identity Proof of Address Others Company 4.

Certificate of incorporation 6. Memorandum and Articles of Association 7. Resolution of Board of Directors 8. Partnership Firm PAN Card Registration certificate Partnership deed If a potential or existing customer either refuses to provide the information described above when requested, or appears to have intentionally provided misleading information, our firm will not open the new account.

The firm will maintain records of all identification information for ten years after the account has been closed. Monitoring Accounts For Suspicious Activity The firm will monitor through the means of Back Office Software for unusual size, volume, pattern or type of transactions.

The following kinds of activities are to be mentioned as Red Flags and reported to the Principal Officer. Such transactions may warrant further due diligence to ensure the legitimacy of the customer's activity. Broad categories of reason for suspicion and examples of suspicious transactions for an intermediary are indicated as under: This will typically be in cases where we know, suspect, or have reason to suspect: We will not base our decision on whether to file a STR solely on whether the transaction falls above a set threshold.

We will file a STR and notify law enforcement of all transactions that raise an identifiable suspicion of criminal, terrorist, or corrupt activities. All STRs will be reported quarterly to the Board of Directors, with a clear reminder of the need to maintain the confidentiality of the STRs We will not notify any person involved in the transaction that the transaction has been reported, except as permitted by the PMLA Act and Rules thereof.

Monitoring Employee Conduct and Accounts We will subject employee accounts to the same AML procedures as customer accounts, under the supervision of the Principal Officer. We will also review the AML performance of supervisors, as part of their annual performance review.

Such reports will be confidential, and the employee will suffer no retaliation for making them. Dormant Account In case of dormant accounts i. In addition to above, if any delivery based sell trades are executed in any account which is inactive for more than nine months, there is a pro active calling from head office to check the authenticity of the client and trade.

For customer grievances mail us at Attention Investors!!

Wendy Kirkland

Issued in the interest of investors No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign in the application form to authorise your bank to make payment in case of allotment.

No worries for refund as the money remains in investor's account. KYC is one time exercise while dealing in securities markets - once KYC is done through a SEBI registered intermediary broker, DP, Mutual Fund etc.

Thank you for showing interest in us. Please fill in the form below and we will contact you at the earliest. Alternatively you can also email us at or call us on the numbers given along side. ISD Code - STD Code - Phone Number. Privacy Policy Disclaimer Broker Norms Dormats Account Policy PMLA Policy Investor Grievances.

IN-DP-CDSL MCX — SX CURRENCY: Customer Identification and Verification At the time of opening an account or executing any transaction with it, the firm will verify and maintain the record of identity and current address or addresses including permanent address or addresses of the client, the nature of business of the client and his financial status as under.

Resolution of Board of Directors.