• Risk Management & Surveillance is a must for safe & smooth trading operations of any organization.
  • The main object of Risk Management & Surveillance is to mitigate the losses/debits of clients and safeguard the organization


  • RMS will activate the New Clients and map the same to concerned Branch or Authorized Person CTCL ID.
  • Branches should login CTCL ID in a Dedicated System to avoid issues in client mapping like “client is not mapped” and pending order issues like order status will be shown as pending though the order is already executed and trade confirmation will also not be shown.


  • Span Margin Report will be uploaded by IT team in co-ordination with RMS in the company’s website before start of market. Span Margin Report will help Branches and clients to check the commodity wise Span Margin


  • Back Office sends Ledger Balance Confirmation and Long Short Position Report to all the clients by SMS.
  • Branches need to collect client margin shortfalls of the previous trade date by 3p.m. of T+2 day for MTM loss.
  • If the same is not collected within the specified time, then RMS will square off client positions at 11 p.m. after informing the concerned Branch and Authorized Person over telephone and subsequently will send a mail.
  • Cheques of only those Banks, which are registered in our Back Office, will be accepted and no third party payment will be entertained.
  • Cheques banked and cheques received after banking hours would be considered for MTM shortfall purposes only when the required scan images are sent to Funds & RMS Department.
  • Demand Drafts are not accepted unless accompanied by client letter in specified format.


  • Branches need to monitor closely the MTM loss of their clients and inform to the concerned client from time to time via SMS alerts and delivery depends upon the operator.
  • RMS will sent Marked to Market (MTM) alert message at 50%, 60% & 70% through sms to the respective clients and delivery depends upon the operator. .
  • MTM shortfall needs to be collected and updated before 70% MTM loss to hold the client positions.
  • If the MTM shortfall is not collected and updated before 70% MTM Loss, the client positions will be squared off by RMS through Auto Square off at 70% MTM Loss and will inform the same to Branches overtelephone.
  • If the MTM Loss of a client reaches 70% at the close of agri market or non-agri market all the open positions will be closed by RMS.
  • But in case of heavy position in client account using exposure company has the right to· square off trade or can ask to reduce position and keep position as per margin available in ledger else RMS will square off the position at any point before reaching 70% it can be 50% MTM loss also.


  • Client Level Position Limit in any commodity will be allowed as specified by the exchange.
  • Branch or Authorized Person should have information about Client Level Position Limit before allowing huge positions to any client.
  • If client exceeds the Client Level Position Limit in any commodity of the exchange, then RMS will inform the same to the concerned Branch or Authorized Person to square off excess positions immediately. If any Branch or Authorized Person is unable to square off, then RMS will square off the same so as to avoid any penalty by exchange


  • Member Level Position Limit in any commodity should be maintained as specified by the exchange i.e. Fixed Limit or 15% of the market-wide open position, whichever is higher.
  • If, Member Level Position Limit exceeds in any commodity, exchange will inform to the Member, then Member need to square off the positions immediately “last in last out basis” else Member will put in square off mode in that commodity.


  • Long Positions & short position in Compulsory Delivery contracts like Gold, Gold Mini, Silver, should be closed before one day of Tender Period starting date by 8.00 p.m. Copper, Lead, Lead Mini, Aluminum, Aluminum Mini, Zinc, Zinc Mini and Nickel should be closed before one day of Tender Period starting date by 8:00 p.m


Delivery logic – Compulsory Delivery

Tender Period – Last 5 working days of the contract Expiry and 1st working day after expiry of the contract

  • If Tender Period starts date falls on Monday-Friday to avoid Delivery Allocation or Delivery Penalty by Exchange.
  • Long Positions or Short Positions in Compulsory Delivery commodities viz., Gold Petal, Gold Guinea, Agri Commodities can be held till the last day of contract Expiry but should be closed before one hour of close of Expiry period.

• Beware of fixed/guaranteed/regular returns/ capital protection schemes. Brokers or their authorized persons or any of their associates are not authorized to offer fixed/guaranteed/regular returns/ capital protection on your investment or authorized to enter into any loan agreement with you to pay interest on the funds offered by you. Please note that in case of default of a member claim for funds or securities given to the broker under any arrangement/ agreement of indicative return will not be accepted by the relevant Committee of the Exchange as per the approved norms.
• Ensure that pay-out of funds/securities is received in your account within 1 working day from the date of pay-out.
• Be careful while executing the PoA (Power of Attorney) – specify all the rights that the stock broker can exercise and timeframe for which PoA is valid. It may be noted that PoA is not a mandatory requirement as per SEBI / Exchanges.
• Register for online applications viz Speed-e and Easiest provided by Depositories for online delivery of securities as an alternative to PoA.

• Do not keep funds idle with the Stock Broker. Please note that your stock broker has to return the credit balance lying with them, within three working days in case you have not done any transaction within last 30 calendar days. Please note that in case of default of a Member, claim for funds and securities, without any transaction on the exchange will not be accepted by the relevant Committee of the Exchange as per the approved norms.

• Check the frequency of accounts settlement opted for. If you have opted for running account, please ensure that your broker settles your account and, in any case, not later than once in 90 days (or 30 days if you have opted for 30 days settlement). In case of declaration of trading member as defaulter, the claims of clients against such defaulter member would be subject to norms for eligibility of claims for compensation from IPF to the clients of the defaulter member. These norms are available on Exchange website at following link: NSE, MCX

• Brokers are not permitted to accept transfer of securities as margin. Securities offered as margin/ collateral MUST remain in the account of the client and can be pledged to the broker only by way of ‘margin pledge’, created in the Depository system. Clients are not permitted to place any securities with the broker or associate of the broker or authorized person of the broker for any reason. Broker can take securities belonging to clients only for settlement of securities sold by the client.

• Always keep your contact details viz. Mobile number/Email ID updated with the stock broker. Email and mobile number is mandatory and you must provide the same to your broker for updation in Exchange records. You must immediately take up the matter with Stock Broker/Exchange if you are not receiving the messages from Exchange/Depositories regularly.

• Don’t ignore any emails/SMSs received from the Exchange for trades done by you. Verify the same with the Contract notes/Statement of accounts received from your broker and report discrepancy, if any, to your broker in writing immediately and if the Stock Broker does not respond, please take this up with the Exchange/Depositories forthwith.

• Check messages sent by Exchanges on a weekly basis regarding funds and securities balances reported by the trading member, compare it with the weekly statement of account sent by broker and immediately raise a concern to the exchange if you notice a discrepancy.

• Please do not transfer funds, for the purposes of trading to anyone, including an authorized person or an associate of the broker, other than a SEBI registered Stock broker.

• Do not deal with unregistered intermediaries (who are not registered with SEBI/Exchanges).

Names and contact details of all Key Managerial Personnel including Compliance Officer

Sr. No.Name of the IndividualDesignationContact NumbersEmail Id
1 Charanpreet GillCEO/
2 Charanpreet GillWhole Time
3 Charanpreet GillCompliance
4Manpriya GillDesignated
5Kewal GillDesignated

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