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TMI BlogUniform Documentary Requirements for trading.X X X X Extracts X X X X X X X X Extracts X X X X ..... ocumentary 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. Model Format of Risk Disclosure Documents was prescribed vide SEBI ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... wever 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 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. 2.4 Uniform Risk Disclosure Documents ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... t. It would be broker's responsibility to provide clients details as and when required. 5. The requirement of obtaining Client Registration Form may be waived for SEBI registered Foreign Institutional Investor, Mutual Funds, Venture Capital Funds and Foreign Venture Capital Investors, Scheduled Commercial Banks, Multilateral And Bilateral Development Financial Institutions, State Industrial Devel ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ry amendments to the relevant bye-laws, rules and regulations for the implementation of the above decision immediately. 6.2 bring the provisions of this circular to the notice of the member brokers and also to disseminate the same on the website. 6.3 communicate to SEBI, the status of the implementation of the provisions of this circular in the Monthly Development Report. This circular is be ..... X X X X Extracts X X X X X X X X Extracts X X X X
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