SURVEILLANCE

Table of Content:

1. Is order executed based on the instruction from client?

2. Who is instructing order on behalf of client?

3. Is correct information of client is updated in Back Office (viz. Mobile No., Landline No., Email Id, Permanent & correspondence    Address and financial details)?

4.Which due diligence to be carried out while placing the order?

5.Whether Client and BA can indulge into off market transfer?

6. What are the Surveillance Action & Resolution on various abnormal trading / uncommon activity observed?

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

8.Penalty Structure on Surveillance Observations?

9. Solutions for the frequent queries

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