Standardized operating procedures (SOP) and manuals
»
Preparation of SOP across products and functions
»
Review and updation of existing SOP
»
SOP covers the below detailed business functionalities:
•
•
•
•
Retail Broking – Cash, F&O, and commodity segment
Institutional broking - Cash, F&O, and commodity segment
PMS
Margin trading
»
Depository operation
»
Process flow at branches and H.O
»
Scope of SOP within the business functionality includes:
•
•
•
•
•
•
•
•
•
Client registration process
Trade Processing
Stock and funds settlement process
Risk management
Revenue accounting
Statutory obligations
MIS reporting
Compliance requirements
System walk through across various functions
