Uniform Documentary Requirements for trading.

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....l Stock Exchanges Dear Sir/Madam, Sub:- Uniform Documentary Requirements for trading. 1.   SEBI had prescribed the uniform formats of client Registration Form and broker clients agreements vide its circular no. SMD/POLICY/CIRCULARS/5-97 dated April 11, 1997. Format of the broker-sub broker agreement was prescribed vide circular no. SMD/POLICY/CIRCULAR/11 -97 dated May 21st, 1997....

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....on different segments and exchanges)-Annexure-1.         2.2 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.         2.3 Model Tripartite A....

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....guidelines. 4.    As regards the client registration form, it is reiterated that it shall be the responsibility of the stock broker to satisfactorily identify his clients. For the purpose, the stock broker may also seek additional information, if any, so as to satisfy himself about the antecedents of the client. It would be broker's responsibility to provide clients details as an....

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....k Exchanges are directed to implement the above requirements, except as laid down in para 2.3 with immediate effect. Requirement relating to tripartite agreement between broker-sub broker and clients of sub broker as stated under para 2.3 will come into effect from December 01, 2004.     The undersigned has been authorized to direct the exchanges to:     &n....