Do you know what are the major compliance adherences required by a sub-broker?

1. Enter orders only on the instructions received from the client on Exchange platform.

2. Do not obtain Authority from any of our clients to handle / trade in their accounts.

3. Never deal in cash with the clients, whatsoever.

4. Never promise any guaranteed returns to our clients.

5. Do not issue any separate acknowledgement receipt to clients upon receipt of any document from them, unless in the manner prescribed by MOSL.

6. Do not spread unauthenticated information / rumors among clients.

7. Do not obtain blank DIS slips / cheque(s) from client, whatsoever.