Discussion on Exchange/SEBI/FMC or any other authority and Inspection Related discussion/Reports


Postby ajaysaini » Thu Dec 31, 2015 3:49 pm

Q1. Digital Logs of Contract Notes/Bounce Mails/Ledgers/Sett of accounts Letter
A. Utilities-->Digital/System Logs/Digital Signed Log (Click on Print --> Enter Document Type)

Q2. Details of Client Registered/Traded and Status
A. Exports---> Client Master Export (Inspection)

Q3. Top Client by turnover with Symbol Wise Breakup
A. Desktop Icon -> Brokerage Query

Q4. Unutilise Fund Lying with Member
A. Financial--->Ageing Analysis--> Ageing Report FIFO Method (Creditors)

Q5. Top Symbol/ Business Volume/Turnover Reports
A. Reports-->Mis Reports-->Top Gainer/Losser/Turnover/Brokerage Reports

Q6. Active / Inactive Clients Report
A. Reports-->Mis Reports-->Client List Transactions Done

Q7. The trade files / sauda register
A. Exports---> Export Trades-->Export Trades Inspection (Capital)

Q8. Sett of Account Details
A. Financial--->Account Settoff--> Sett of Account New-> Export Log

Q9. Security Register
A. Demat -->Collaterals--> Secuirty Register

Q10. Details of pay-in and payout of securities
A. Demat-->Reports--> Client Demat Ledger --> Print

Q11. FO Margin Files
A. Margin --->Client Margin Export--> Enter Margin Date and click on Export (Click on Edit For View )

Q12. Client Beneficiary stock Reconciliation
A. Reports---> Branch Benificiary Client Wise Holding

Q13. Bank reconciliation (all client bank accounts )
A. Financial -->Bank Reconcilation --> Bank Reconcilation Reports New.
Reconcilation Reports as on : Enter Date , Enter Bank Code --> Click on Excel

Q14. Settlement numbers for verification of pay-in pay-out of securities
A. Reports --> Net Positions--> Net Postion Client Wise Scrip Wise ( Enter Settlment No.)

Q15. Collateral Stock Details
A. Demat -->Reports ---> Client Wise Holding With Financial
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