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LIMIT SETTINGS POLICY

The compliance officer shall review on a periodic basis
1.Quantity limit for each order
2.Value limit for each order
3.User value limit for each user ID
4.Branch value limit for each branch ID
5.Security wise limit for each user ID

The compliance officer shall ensure that
1.The limits are setup after assessing the risks of the corresponding user ID and branch ID
2.The limits are setup after taking into account the member’s capital adequacy requirements
3.All the limits are reviewed regularly and the limits in the system are up to date
4.All the branch or user have got limits defined and that No user or branch in the system is having unlimited limits on the above stated parameters
5.Daily record of these limits is preserved and shall be produced before the Exchange as and when the information is called for.