19th October, 2004
Sub: - Uniform Documentary Requirements
for Trading
Members are hereby informed that SEBI
vide its Circular No. SEBI/MIRSD/DPS-1/Cir-31/2004 dated 26th August, 2004 has
advised the Exchange about uniformity in documentary requirements across different
segments and exchanges and also to avoid duplication and multiplicity of documents, SEBI
in consultation with Stock Exchanges has formulated uniform set of documents which are
listed below:-
1.1 Client Registration Form (Uniform across all the segments and exchanges where
the broker is trading on different segments and exchanges)-Annexure-1.
1.2 Member Clients Agreements. (Uniform across all the segments of an exchange.
However a separate agreement in the same format would be required for each of the
exchanges where the broker is trading on different exchanges)- Annexure-2.
1.3 Model Tripartite Agreement between Broker-Sub broker and Clients (Applicable
only in cash segment and a separate agreement in the same format would be required for
each of the exchanges)- Annexure-3.
1.4 Uniform Risk Disclosure Documents. (Uniform across all the segments and
exchanges).- Annexure-4.
1.5 Broker Sub broker agreement.- Annexure-5.
All annexures
shall be available on the Exchange's website -"cse-india.com" as well as in soft
copy from Help Desk of the Exchange.
Members are requested to take note of
the aforesaid circular and ensure necessary compliance.