Policy on Guidelines for Outsourcing of Activities
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Referral Policy
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Prohibition on Circulation of Unauthenticated News
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Policy regarding the use of facsimile scanned signatures for Physical contract notes
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Policy on Surveillance Mechanism
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Policy on Risk Management System
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Policy on Pre funded Instruments and EFT
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Policy on Investor Grievance Redessal Mechanism
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Policy on Introduction & Registration of Clients including IPV & Policy on Onboarding of New clients
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Policy on Internal Control System
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Policy on Identification of Beneficial Ownership
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Policy on Debit Balance Exposure
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Policy on Dealing with Inactive and Dormant clients
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Policy on Dealing with Conflicts of Interest of Intermediaries
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Policy on Compliance Officer
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Policy on Code of Conduct for Employees
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Policy on Client Code Modification
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NISM Series-VII SORM Policy
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Margin Trading Facility Policy
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Maintenance and Preservation of Records Policy
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Limit Setting Policy
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Internal Shortage Policy
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Code of Conduct for Prevention of Insider Trading
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WORK FROM HOME ENVIRONMENT POLICY
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TECHNICAL GLITCHES POLICY
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STANDARD OPERATING PROCEDURE
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REMOTE ACCESS POLICY
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POLICY ON REPORTING UNUSUAL ACTIVITIES
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POLICY ON IDENTIFICATION OF CRITICAL ASSETS BASED ON SENSITIVITY
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POLICY ON DATA SECURITY
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PATCH MANAGEMENT PROCEDURE
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PASSWORD POLICY
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NETWORK SECURITY POLICY
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LOG RETENTION POLICY
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IT ACCESS AND USER ACCESS MANAGEMENT POLICY
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INTERNET ACCESS POLICY
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INFORMATION SECURITY POLICY
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EVENT LOGGING AND MONITORING PROCEDURE
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ELECTRONICS STARAGE MEDIA DISPOSAL POLICY
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DATA LEAKAGE POLICY
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DATA ENCRYPTION PROCEDURE
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DATA DISPOSAL AND RETENTION POLICY
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CYBER SECURITY AND CYBER RESILIENCE POLICY
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CHANGE MANAGEMENT POLICY
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BRING YOUR OWN DEVICE POLICY
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BCP AND RESPONSE MANAGEMENT POLICY
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BACKUP POLICY
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AUDIT TRAIL POLICY
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