uC01

ld uC01
name MalnLaln orLfollo
1ype 8ase
AcLor
8roker (rlmary)
lnvesLmenL 8anker (rlmary)
uescrlpLlon
8roker and lnvesLmenL bankers places requesLs for malnLalnlng Lhelr accounL deLalls Lhelr personal
lnformaLlon Lo check whaL ls Lhe llmlL of Lhe person processes Lhe reporLs malnLalns securlLy and
malnLalns LransacLlons Lhe lnvesLmenL banker handles Lhe lC processes
recondlLlons
none
osL condlLlons
8rokers and lnvesLmenL bankers recelves Lhe reporLs for conflrmaLlon of Lhelr requesLs
Maln llow
lnvesLmenL banker/ 8roker SysLem
1 8equesLs lC's for new companles/ 8roker
provlde requesLs

11 8equesLs reporLed Lo Lhe Lxchange SysLem
2 Check 8equesL Lype
21 lf Lype MalnLaln SecurlLles
exLendsuC02 MalnLaln SecurlLles
22 lf Lype MalnLaln MarkeL SLore
exLendsuC03 MalnLaln MarkeL SLore
23 lf Lype MalnLaln 1ransacLlon
exLendsuC04 MalnLaln 1ransacLlon
24 lf Lype rocess 8eporLs
exLendsuC06 rocess 8eporLs

AlLernaLlve llow none
Speclal 8equlremenLs none















uC03

ld uC03
name MalnLaln MarkeL SLore
1ype 8eference
AcLor
none
uescrlpLlon

recondlLlons
none
osL condlLlons
8rokers and lnvesLmenL bankers recelves Lhe reporLs for conflrmaLlon of Lhelr requesLs
Maln llow