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Internal Control Policy

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Internal Control Policy

Index
Sr.No.. Particulars Page No.
1 Brief of Internal Control Policy 2 – 2
2 Information Security 2 – 2
3 Privacy Policy 3 – 5
4 Back up Policy 6 – 7
5 Password Policy 8 – 10
6 Risk Management, Surveillance and Business Rules 11 – 14
7 Margin Collection And Reporting Procedure 15 – 15
8 Capacity Management 16 – 16
9 Network Security Policy 17 - 18
10 Application Software Policy 19 – 19
11 Business Continuity Planning and Disaster Recovery 20 – 22
12 Policy Regarding Treatment of Inactive Account 23 – 23
13 Policy for conduct for prevention of insider trading 24 – 24
14 Policy for unauthentic news circulation 25 – 25
15 Policy for redressal of investor grievance 26 – 26
16 Client Code Modification “CCM” and error Code Policy 27 – 28
17 Policy For Pre Funded Instruments From Clients 29 – 30
18 Internal Policy- NISM-Series –VII: Securities Operation and Risk Management Certification Examination 31-32
19 Policy & Procedure 33 - 38
20 Policies to Identify or avoid or manage Conflict of Interest 39 - 43
21 Cyber Security And Cyber Resilience Policy 44 – 54
22 Policy for Outsourcing activities 55 - 55
23 Surveillance Policy 56 - 60
24 Policy For Anti Money Laundering 61 - 61
25 Audit 61 - 61