(Provide Attachment for the items where required)
Account Opening Form
KYC Form- Individual
KYC Form- Non Individual
KYC Non Individual Annexure
PMLA Policy
Policies and Procedures (Mandatory)
Risk Management Policy
Policy regarding treatment of inactive accounts
PMLA Policy Employee Insider Trading Policy
Application for closing of Trading account
Dormant Account BSE & NSE
Additional Literature for AML Requirements
Internal Control Policy
Risk Disclosure Document
Modification and Error
Do's and Don'ts for Clients
Client Guidance Documents
Surveillance Policy
Policy for Pre-funded Instruments
Fraud Prevention Policy
