CSE/MSD/INSP/2012/
10.07.2012
Members are hereby
informed that as per SEBI Circular no. SEBI/MIRSD/Master Cir-04/2010 dated
March 17th, 2010, the routine inspection of your books of account
and other documents for the financial year 2011-2012 will be conducted from
15.07.2012. You are therefore advised to be prepared with all relevant
documents and information as notified hereunder.
You are further requested
to fill up the annexure
Questionnaire and submit the same along with supporting documents at the
time of inspection to the Exchange officials.
The books, which are to
be produced at the time of inspection, are:
1. a) General
Ledger. B) Party Ledger.
C) Member’s Ledger.
2. Settlement wise Daily
Transaction Report, Balance Sheet, Delivery Statement, Auction Report.
3. Difference Bills
issued to clients.
4. a) Details of bank
account, Bank Book and Bank Statement (with reconciliation), Cash Book
b)
Settlement Account with reconciliation, Sauda Book
c)
Documents/Delivery register with D/P statements (Pool & Beneficiary)
5. Counter
foils/duplicate copies of Contact Notes issued to clients.
6. List of Securities in
hand as at 31.03.2012.
7. Written consent of
clients in case of transactions done on principal-to-principal basis.
8. At the time of
inspection, you or your representative should be able to provide all mandatory
records maintained by you at your office in respect of “Know Your Client”.
It shall remain the
prerogative of the Exchange officials to inspect any other related books and
documents of your firm for any other period as shall be deemed necessary during
the course of inspection.
DGM
(Stock Exchange Operations)