ACCOUNT_JOB_COMPANY

ACCOUNT_JOB_ADDRESS_SINGLE_LINE

Section 1: INTRODUCTION

Objective of the Operations and Internal Control Procedural Manual

The operations manual serves the following objectives:

1)       It serves as official company procedures in connection with daily operations to control the activities and safeguard its assets.

Section 2: FINANCIAL RESOURCES

Chapter 3: JOB DESCRIPTIONS & ACCOUNTABILITY

Responsible parties

Job Description

Section 4: ANTI-MONEY LAUNDERING/ ANTI-TERRORISM / SANCTIONS

Relevant Regulations

Money Laundering

Stages of Money Laundering

Terrorist financing

Sanctions

Section 5: IDENTIFICATION OF YOUR CLIENTS

New Client

Origination of client’s instructions

Section 6: INDIVIDUAL/CORPORATE CLIENT ACCOUNT OPENING DOCUMENTS-SECURITIES CASH AND MARGIN

Sales Team Structure

Registration and Capabilities

Client Account Opening

Professional Investors

Amendments to account opening documents

Closure of Accounts

Section 7: TRADING AND CREDIT LIMIT POLICY - CASH AND MARGIN

Trading Limit

Sales Credit Policy

Section 8: ORDER HANDLING AND DEALING

Diligence

Client’s Order Handling Procedures

Future Dealing Procedures

Access to Dealing Room

Internet Trading System for clients

Client Priority

Trading Errors

Records Maintaining

Section 9: EMPLOYEE DEALING POLICY

To whom this policy applies

Objectives

Scope of this policy

Mandatory Rules

General Restrictions

Penalties for Non compliance

Section 10: FUTURES MARGIN LENDING POLICY

Prudent Banking borrowing

Margin Call Policy

Margin Calls

Position Limits

Margin Call Procedures

Section 11: FUTURES SETTLEMENT OPERATION

On Trade date

Within One Trading Day

On Settlement Date

Cash settlement

Funds withdrawals from Clients’ accounts

Clients Deposits

Clients Withdrawal

Section 12: FUTURES RECONCILIATION

Daily Reconciliation

Monthly Reconciliation

Section 13: BANK AND TRUST ACCOUNTS RECONCILIATION 

Section 14: CONTINGENCY POLICY

Section 15: HANDLING COMPLAINTS

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