NOTICE

Members are hereby informed that as per SEBI Circular no. SEBI/MIRSD/Master Cir-04/2010 dated March 17^th, 2010, the routine inspection of books of account and other documents for the financial year 2015-2016 will be conducted from 23.05.2016. You are therefore, advised to be prepared with all relevant documents and information as notified hereunder.

You are further requested to fill up the Annexure Questionnaire and submit the same along with supporting documents at the time of inspection to the Exchange officials.

The books, which are to be produced at the time of inspection are :

1. a) General Ledger. B) Client Ledger. C) Member s Ledger.

2. Settlement wise Daily Transaction Report, Balance Sheet, Delivery Statement, Auction Report.

3. Difference Bills issued to clients.

4. a) Copies of Bank Account, Bank Book and Bank Statement (with reconciliation Statement) Cash Book

b) Settlement Account with reconciliation, Sauda Book

c) Documents/Delivery register with D/P statements (Pool & Beneficiary)

5. Counter foils/duplicate copies of Contact Notes issued to clients.

6. List of Securities in hand as at 31.03.2016.

7. Written consent of clients in case of transactions done on principal-to-principal basis.

8. At the time of inspection, you and or your representative one required to provide all mandatory records maintained by you at your office in respect of “Know Your Client”.

It shall remain the prerogative of the Exchange officials to inspect any other related books and documents of your firm for any other period as shall be deemed necessary during the course of inspection.

Manager (Surveillance)