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Risk Management Policy
Policy related to monitoring of transaction

Monitoring of transaction is done with co-ordination of our Account Opening department, Accounts and Risk Management Department, Technical and Compliance Department.

All these department co-ordinate and watch the client activity and assign the limit to the clients and his risk profiling accordingly.

Account Opening department classify the client at the time of opening of account according to the policy into Low/Medium risk. Based on margin provided and his risk profiling accounts and risk management department set the clients limits after this our trading, technical and risk management department monitor trading activities online and controls any deviation. On the basis of risk analysis done by our risk management team information is provided to our compliance team about the clients whose activities are not in line as per SEBI guidelines i.e. significantly increase in client activity, Client concentration in a scrip. Our compliance team inspects the case i.e. whether such activity of client is normal trend or client is trying to bring any fluctuation in the market and accordingly warning letters are send to clients and his position is controlled and his trading activities curtailed.

Apart from this there is also proper system to generate, monitor and report the suspicious transaction report.

1. Generation of STR
We have adequate system to get STR files from NSDL/CDSL on fortnightly basis and we keep the log of the same for our records.

2. Monitoring of STR
Once we received the STR files we check and verify the details of each and every clients with the records available with us in respect of bank account and volume of transactions by means of their financial capabilities.

For monitoring the large volumes done by the clients we at the end of day scrutinize and analyze the volumes of each and every client with the help of trail balance of the particular trade date and assess his financial capabilities based on the financial information provided by them to us. If there is any discrepancy found then we call the client and take the reasons and source of funds for these trades for our satisfaction.

3. Reporting of STR
As we verify the STR in detail and same is found not suspicious and hence ‘NIL’ record is kept by us and there is no need to report the same to FIU-India.

 
 
 
 
 

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SEBI Registration Number- Capital Market :- INB 230882038 | Future & Option:- INF 230882038 | MCX :-TM-ID-16775 | NCDEX :-TM-ID- 0177 |
NSDL :-IN-DP-NSDL-173-2000 |CDSL :- IN-DP-CDSL-224-2003 | Mutual Funds :-AMFI ARN No.21406
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