Compliance Reference Window – Modularized compilation of circulars and regulations since 1992
 
For the first time in the capital markets for Cash and Derivatives Segment, AnC initiates a compliance compilation across various regulators. The highlights of offerings are as detailed below:
   

What is Compliance Reference Window?
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 An upcoming offering by AnC for the broking industry
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 Compilation of:
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 Regulations, Rules, Bye Laws  across NSE, BSE and SEBI
Circulars from 1992 onwards across NSE, BSE and SEBI
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 Filtration capability based on Relevance, Date , Circular No, Regulator, Modules
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 With perceived implications of the circulars
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 Segregation of circulars into the following modules facilitating easy and speedy reference
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•		 Membership
Client registration
Front End
Trade processing
Risk and Margin management
Settlement process
Compliance
Reports
System and Software
Connectivity
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 Compilation of Regulations for:
 
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Rules, Regulations and Bye Laws  across NSE and BSE
Securities And Exchange Board Of India (Criteria For Fit And Proper Person) Regulations, 2004
Securities & Exchange Board of India (Prohibition of Fraudulent & Unfair Trade Practices relating to the Securities Market) Regulations, 2003
Securities and Exchange Board of India (Stock Brokers and Sub-brokers) Regulations 1992 including Code of Conduct
Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations 1992

Of course, nothing can supersede reading through the exact text of the circulars and regulations. So a hyperlink reference is being given in the compilation for enabling quick access.

Beneficiaries of Compliance Reference Window

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Brokers - NSE and BSE
Sub-brokers
Franchisee and business partners of brokers
Custodians

Need for Compliance Reference Window
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A  resource for ready reference due to modularization of compilation
Snapshot of regulatory requirement when you need it the most
Time saving
Knowledge of the law-Updating with the changing compliance requirement  
Reference to relevant historical circulars and regulations
Help in drafting/formulating compliance procedures and policies
Disclaimer
The Compliance Reference Window summarizes important circulars released by the respective regulatory authorities for the exclusive use of the clients of AnalyzenControl. It does not purport to be and should not be treated as professional guidance or opinion on any subject. Nothing contained herein can substitute appropriate legal opinion. Further, it is not an exhaustive list and members are strongly advised to refer to the content as per the actual circulars released. Members are also advised to refer to respective regulatory circulars and amendments on a daily basis.
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