Map rule changes to affected processes

Identify which products, client records and procedures need specialist review.

A reviewed requirement changes, an operating event occurs or an applicable obligation becomes due.

People in the process

CComplianceProcess Owner

Records it works with

Applicable requirement and reviewed interpretation
Entity, location, product or transaction details
Current permissions, evidence and prior submissions

The process is a starting point.The standards are yours.

Configure for the SEBI registration, exchange membership and business activity. Broker, fund, portfolio-manager and investment-adviser requirements are separate.

Keep the work connected.

Brokerage Operations

Investigate a broker client-funds break

For a stock broker, compare client ledger obligations, bank credits, clearing statements and exchange submissions; identify timing versus incorrect allocation. Operations obtains the authorised correction and preserves the trail before the next settlement or client statement.

Brokerage Operations

Resolve margin reporting differences before submission

Compare client collateral and collection evidence, clearing-member file and exchange rejection or shortfall report. The broker’s margin team investigates exceptions and approves corrections in the source system before applicable reporting.

RCC

Brokerage Operations

Trace an approved broker payout to receipt

Join the client instruction, running-account balance, bank payment and rejected transfer reference for an exceptional payout. Operations resolves beneficiary or obligation differences and tells the client what actually settled.

Explore all Capital markets processes.

Order for the work. Room for the people.