(To be given on letter head of the Member) Annual Compliance Report (2011-12) To, Compliance Department Multi Commodity

Exchange of India Ltd Exchange Square, Suren Road, Chakala, Andheri (East), Mumbai 400 093 I/We hereby certify and confirm that I/We, ___________________________________a Member of the Exchange, carrying business with Membership ID ____________ have complied, during the Financial Year 2011-12, with all the Rules, Bye-Laws, Business Rules, Circulars and directives issued by Multi Commodity Exchange of India Ltd., in general and in particular all the specific areas listed in the Annexure 1 of this Report except for non-compliance(s), deviation(s) and exception(s), if any, as listed therein. Place: _________ Date: _________ For and on behalf of

Signature of Designated Director / Managing Director / Managing Partner / Proprietor / Karta/ Authorized Signatory/Compliance Officer Name: _____________________________

Rubber Stamp Email ID:___________________________

Annexure I Rules/ Bye-laws/ Business Rules / Circulars of the Exchange 1 1.1 Particulars Complied (Yes/ No/ N.A.) Maintenance of Books of Accounts / Records / Registers Bye-law11.5 , Circular No. MCX/012/2006 dated January 10, 2006, Circular No. MCX/COMP/113/2010 , dated April 05, 2010 and Circular No. MCX/357/2006 dated September 2, 2006 1.2 Bye-law11.5, Circular No. MCX/357/2006 dated September 02, 2006, Circular No. MCX/COMP/113/2010 dated April 05, 2010, Circular No. MCX/COMP/358/2011 dated October 11, 2011 and Circular No. MCX/12/2006 dated January 10, 2006 Page 1 of 28 Exchange wise client ledgers Sauda Book (Register of Transactions) Remarks

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange 1.3 Bye-law11.5, Circular No. MCX/012/2006 dated January 10, 2006 and Circular No. MCX/COMP/113/2010 dated April 05, 2010 1.4 Bye-law11.5, Circular No. MCX/012/2006 dated January 10, 2006 and Circular No. MCX/COMP/113/2010 dated April 05, 2010 1.5 Bye-law11.5, Circular No. MCX/012/2006 dated January 10, 2006 and Circular No. MCX/COMP/113/2010 dated April 05, 2010 1.6 Bye-law11.5, Circular No. MCX/012/2006 dated January 10, 2006 and Circular No. MCX/COMP/113/2010 dated April 05, 2010 Bank Pass Book Cash Book Journals General ledger Particulars

Complied (Yes/ No/ N.A.) Remarks

Page 2 of 28

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange 1.7 Bye-law11.5, Circular No. MCX/012/2006 dated January 10, 2006, Circular No. MCX/COMP/113/2010 dated April 05, 2010 and Circular No. MCX/357/2006 dated September 02, 2006 1.8 Bye-law11.5 and Circular No. MCX/012/2006 dated January 10, 2006 1.9 Bye-law11.5, Circular No. MCX/012/2006 dated January 10, 2006 and Circular No. MCX/357/2006 dated September 02, 2006 1.10 Bye-law11.5, Circular No. MCX/012/2006 dated January 10, 2006 and Circular No. MCX/357/2006 dated September 02, 2006 Page 3 of 28 Trade log Margin Deposit Book Bank Book Register of Complaints Particulars

Complied (Yes/ No/ N.A.) Remarks

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange 1.11 Bye-law11.5 , Circular No. MCX/012/2006 dated January 10, 2006 and Circular No. MCX/357/2006 dated September 02, 2006 1.12 Rule 38 (f), Bye-law 11.5, and Circular No. MCX/399/2009 dated September 30, 2009. 1.13 Bye-law11.5, Circular No. MCX/012/2006 dated January 10, 2006 and Circular No. MCX/357/2006 dated September 02, 2006 1.14 Business Rules 21 (d), Bye-law 4.8, 11.5 and Circular No. MCX/012/2006 dated January 10, 2006 1.15 Bye-law11.5 and Circular No. MCX/012/2006 dated January 10, 2006 Page 4 of 28 Records in Respect of Premium / Discount Records of Deliveries Received / Tendered Contract wise Register of Commodities Evidence of client placing order Order log Particulars

Complied (Yes/ No/ N.A.) Remarks

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange 1.16 Bye-law11.5 and Circular No. MCX/012/2006 dated January 10, 2006 1.17 Bye-law11.5 and Circular No. MCX/012/2006 dated January 10, 2006 2 2.1 Business Rules 27 (b), Circular No. Dealing with Clients Obtained Know Your Client Forms complete in all respect Records in Respect of Service Tax Records in Respect of Brokerage Particulars

Complied (Yes/ No/ N.A.) Remarks

MCX/COMP/206/2008 along with supporting documents dated June 16, 2008, Circular No. MCX/COMP/256/2008 dated July 31, 2008, Circular No. MCX/COMP/029/2009 dated January 19, 2009 Circular No. MCX/COMP/399/2009 dated September 30, 2009, Circular No. MCX/COMP/488/2009 dated November 27, Page 5 of 28 from all clients before accepting or placing orders on their behalf

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange 2009 and Circular No. MCX/COMP/113/2010 dated April 05, 2011 2.2 Business Rules 27 (u), Not accepted orders in Inactive Circular No. Clients accounts without an undertaking from them to re-open Particulars

Complied (Yes/ No/ N.A.) Remarks

MCX/T&S/149/2008

dated April 23, 2008, those accounts and in case there Circular No. are material changes in the client

MCX/COMP/513/2009 details the required formalities of dated December 15, fresh KYC is done

2009 and Circular No. MCX/COMP/298/2010 dated August 21, 2010 2.3 Circular No. PAN Details of all clients obtained and uploaded to the

MCX/T&S/155/2007

dated April 26, 2007, Exchange Circular No.

MCX/COMP/206/2008 dated June 16, 2008, Circular No.

MCX/COMP/029/2009 dated January 19, 2009 and Circular No.

MCX/COMP/113/2010 dated April 05, 2010 Page 6 of 28

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange 2.4 Business Rules 27 (a) and Circular No. Executed Member Client Agreement as per format Particulars

Complied (Yes/ No/ N.A.) Remarks

MCX/COMP/113/2010 prescribed by the Exchange, with dated April 05, 2010 all Clients, before accepting or placing orders on their behalf 2.5 Business Rules 27 (c), Bye Laws 14.1.1, 14.1.2, Circular No. Issued Risk Disclosure Documents to all clients and maintained their

MCX/COMP/206/2008 acknowledgement dated June 16, 2008 and Circular No. MCX/COMP/113/2010 dated April 05, 2010 2.6 Bye-law 8, Business Collection of Margin from clients

Rule 27 (r), Circular No. before entering any order for MCX/012/2006 January Circular 10, dated them 2006, No.

MCX/COMP/113/2010 dated April 05, 2010, Circular dated 2010, December Circular No. 4, No.

MCX/COMP/429/2010

MCX/C&S/214/2011 Page 7 of 28

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange dated June 9, 2011 and Circular No. Particulars

Complied (Yes/ No/ N.A.) Remarks

MCX/COMP/358/2011 dated October 11, 2011 2.7 Circular No. Pre-funded Instruments (Pay

MCX/COMP/348/2011 Orders and Demand dated October 4, 2011 Drafts)/Electronic Fund Transfer

2.8

Bye-law 5.21, Circular Allotment of Unique Client Codes No. MCX/342/2006 to clients

dated August 24, 2006, MCX/COMP/088/2008 dated March 04, 2006, MCX/COMP/317/2008 dated October 07, 2008, Circular No.

MCX/T&S/405/2008 dated December 20,

2008 and Circular No. MCX/T&S/355/2011 dated October 10, 2011 2.9 Business Circular Rules 27(v), Not allotted multiple client codes No. to the same client

MCX/COMP/088/2008 dated March 4, 2008, Page 8 of 28

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange Circular No. Particulars

Complied (Yes/ No/ N.A.) Remarks

MCX/COMP/317/2008 dated October 7, 2008, Circular No.

MCX/COMP/113/2010 dated April 05, 2010 and Circular No.

MCX/T&S/074/2011 dated March 12, 2011 3 3.1 Bye-law 4.7, Business Rule 27(p), Circular No. MCX/COMP/113/2010 dated April 05, 2010 and Circular No. MCX/COMP/358/2011 dated October 11, 2011 3.2 Circular No. Issued/ delivered contracts notes Contract Notes Issued Contract Notes to all clients

MCX/COMP/195/2008 within 24 hours of the execution dated June 06, 2008 and Circular No. MCX/COMP/046/2011 dated February 23, 2011 of trades

Page 9 of 28

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange 3.3 Circular No. MCX/409/2005 dated December 06, 2005, Circular No. MCX/012/2006 dated January 10, 2006, Circular No. MCX/LEGAL/363/200 8 dated November 15, 2008, Circular No. MCX/COMP/113/2010 dated April 05, 2010, and Circular no. MCX/LEGAL/404/2011 dated November 3, 2011 3.4 Circular No. Maintained evidence of Issue of Contract Notes as per format prescribed by the Exchange and with running serial number initiated at the start of every financial year Particulars

Complied (Yes/ No/ N.A.) Remarks

MCX/COMP/399/2009 dispatching Contract Notes dated September 30, 2009, Circular No. MCX/COMP/046/2011 dated February 23, 2011 and Circular No. MCX/COMP/256/2011 dated July 20, 2011 Page 10 of 28

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange 3.5 Circular No. Maintained the proof of receipt of Particulars

Complied (Yes/ No/ N.A.) Remarks

MCX/COMP/113/2010 Contract notes by the clients dated April 05, 2010 3.6 Circular MCX/012/2006 No. Maintained duplicate Copy of dated Contract Notes

January 10, 2006 and Circular No.

MCX/COMP/113/2010 dated April 05, 2010 3.7 Circular No. MCX/409/2005 dated December 06, 2005, Circular No. MCX/012/2006 dated January 10, 2006, Circular No. MCX/COMP/304/2007 dated September 01, 2007, and Circular No. MCX/COMP/256/2011 dated July 20, 2011 3.8 Circular MCX/032/2007 January Circular 22, No. Modification of client codes, if dated any, was done on the trading 2007, system only and no modification No. of client codes has been done Page 11 of 28 Complied with requirements related to issue of Digital Contract Notes

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange MCX/166/2007 dated beyond the stipulated time period Particulars

Complied (Yes/ No/ N.A.) Remarks

April 30, 2007, Circular No. MCX/196/2007

dated May 23, 2007, Circular MCX/198/2007 No. dated

May 25, 2007, Circular No. MCX/T&S/343/ 2011 dated September 30,

2011 and Circular No. MCX/T&S/483/2011 dated 2011 4. 4.1 Business Rule 28 and Circular No. MCX/012/2006 dated January 10, 2006 4.2 Business Rule 28 and Circular No. MCX/012/2006 dated January 10, 2006 Brokerage Brokerage has been charged December 29,

separately and same has been mentioned separately from the price on the Contract Notes Brokerage has been charged

within Permissible Limit

Page 12 of 28

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange 4.3 Circular MCX/357/2006 No. Not shared brokerage with of Particulars

Complied (Yes/ No/ N.A.) Remarks

dated another

member/employee

September 02, 2006

another member/person for or with whom members are

forbidden to do business/ /or unregistered intermediaries 5 5.1 Bye-law 9.2 Handling Funds and Maintaining Separate Client and Own Bank accounts

Business Rule 19 (c) 5.2

Bye-law 9.2, Business Segregation of Clients and Own Rule 27 (q), Circular Funds No. MCX/012/2006

dated January 10, 2006 and Circular No.

MCX/COMP/113/2010 dated April 05, 2010 5.3 Circular No. Segregation of client accounts in

MCX/COMP/358/2011 Commodity Futures Exchange dated October 11, 2011 and National Commodity Spot Exchanges 5.4 Business Rule 27 (q) Not mis-utilized Clients Funds/ and Circular No. Commodities

MCX/COMP/429/2010 dated December 04,

2010 and Circular No. Page 13 of 28

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange MCX/COMP/113/2010 dated April 05, 2010 5.5 Business Rules 27 (s), 27 (t) and Circular No. MCX/COMP/304/2007 dated September 01, 2007, Circular No. MCX/COMP/401/2009 dated October 01, 2009 5.6 Business Circular MCX/012/2006 January Circular 10, Rule 19(c), Full Pay-out of Funds has been No. made to all clients within 48 hours dated of receiving relevant payout from 2006, the Exchange No. Not involved in cash transactions with clients Particulars

Complied (Yes/ No/ N.A.) Remarks

MCX/COMP/304/2007 dated September 01,

2007 and Circular No. MCX/COMP/113/2010 dated April 05, 2010 5.7 Circular No. Maintained evidence of making

MCX/COMP/399/2009 payments to clients for Mark to dated 2009 5.8 Business Rule 27 (d), Statement of Accounts for funds Circular No. (with error reporting clause) has Page 14 of 28 September 30, Market gains

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange MCX/COMP/304/2007 been sent every month to all dated 2007, September Circular 01, clients and Proof of Dispatch is No. maintained. Particulars

Complied (Yes/ No/ N.A.) Remarks

MCX/COMP/046/2011 dated February 23, 2011 and Circular No.

MCX/COMP/256/2011 dated July 20, 2011 6 6.1 Trading Bye Law 5.15.1, Rule 36 Use of Trading Terminals by (c), Business Rule 30, Approved Users only Circular MCX/332/2005 September Circular 30, No. dated 2005, No.

MCX/CTCL/042/2007 dated January 31, 2007, Circular No.

MCX/CTCL/043/2007 dated February 2, 2007 and Circular No.

MCX/COMP/113/2010 dated April 05, 2010 6.2 Circular No. Not used any software facilitating matching/grouping Page 15 of 28 of orders

MCX/CTCL/042/2007

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange dated January 31, 2007, between clients Circular No. Particulars

Complied (Yes/ No/ N.A.) Remarks

MCX/CTCL/043/2007 dated 2007, February Circular 02, No.

MCX/CTCL/171/2008 dated May 15, 2008, Circular No.

MCX/CTCL/011/2009 dated January 10, 2009 and Circular No.

MCX/CTCL/120/2009 dated March 20, 2009 6.3 Circular No. All orders were routed to the trading system of the Exchange

MCX/CTCL/042/2007

dated January 31, 2007, for matching Circular No.

MCX/CTCL/043/2007 dated 2007, February Circular 02, No.

MCX/CTCL/171/2008 dated May 15, 2008, Circular No.

MCX/CTCL/011/2009 dated January 10, 2009, Page 16 of 28

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange Circular No. Particulars

Complied (Yes/ No/ N.A.) Remarks

MCX/CTCL/120/2009 dated March 20, 2009 and Circular No.

MCX/COMP/113/2010 dated April 05, 2010 6.4 Circular MCX/358/2006 September Circular 02, No. Periodic System Audit of CTCL dated and IBT conducted 2006, No.

MCX/CTCL/042/2007 dated January 31, 2007, Circular No.

MCX/CTCL/043/2007 dated February 02, 2007 and Circular No.

MCX/CTCL/433/2010 dated 2010 December 10,

Page 17 of 28

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange 6.5 Circular MCX/241/2006 No. All trades in own account were dated done in PRO code only and such Particulars

Complied (Yes/ No/ N.A.) Remarks

June 15, 2006, Circular trades were done in approved No. MCX/347/2006 locations only

dated August 29, 2006, Circular No.

MCX/COMP/113/2010 dated April 05, 2010 and dated 2011 6.6 Bye-law 6.1.7 and Traded only through approved work station(s) from approved location(s) 6.7 Business Rule 29(b), Business Business Circular Rule Rule 32 Not provided Trading (TWS / 30, CTCL) terminals to unauthorized & intermediaries or unauthorized No. extension of trading network Circular September No. 14,

MCX/T&S/314/2011

Business Rule 29 (b)

MCX/COMP/113/2010 dated April 05, 2010 6.8 Bye-law Circular 6.1.7 and Submitted required details of No. CTCL terminals to the Exchange

MCX/COMP/113/2010 dated April 05, 2010 Page 18 of 28

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange 6.9 Bye-law 8.6.1, Circular Not indulged in any activity No. MCX/T&S/166/2007 dated April 30, 2007 and Circular No. resulting in to margin evasion including transfer of trades Particulars

Complied (Yes/ No/ N.A.) Remarks

MCX/COMP/113/2010 dated April 05, 2010 7 7.1 Rule 26(b), Business No Membership Requirements change or in Shareholding Pattern or

Rules 35 (j), Circular Pattern No. MCX/150/2006 /Director

Sharing

dated April 06, 2006, Partner/Name/Dominant Circular MCX/476/2006 November Circular MCX/151/2007 April 20, 2007 09, No. Promoter Group without

dated approval of the Exchange 2006, No. dated and No.

Circular

MCX/MEM/132/2008 dated May 15, 2008 7.2 Rule 21(i), Circular No. MCX/MEM/259/2009 dated June 16, 2009, Circular No. Page 19 of 28 Maintained Net-Worth Exchange requirement as per

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange MCX/COMP/113/2010 dated April 05, 2010 and Circular No. MCX/COMP/358/2011 dated October 11, 2011 7.3 Circular MCX/207/2006 May 19, 2006 7.4 Circular No. Submitted Annual Compliance No. Appointment dated Officer of Compliance Particulars

Complied (Yes/ No/ N.A.) Remarks

MCX/COMP/183/2008 Report FY: 2010-2011 dated May 27, 2008, Circular No.

MCX/COMP/171/2011 dated May 03, 2011 and Circular No.

MCX/COMP/213/2011 dated June 07, 2011 7.5 Circular No. Submitted Annual Returns FY:

MCX/COMP/183/2008 2010-2011 dated May 27, 2008, Circular No.

MCX/MEM/309/2011 dated September 09,

2011 and Circular No. MCX/MEM/361/2011 Page 20 of 28

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange dated October 14, 2011 8 8.1 Circular MCX/007/2005 January 03, Others No. Not Issued Advertisement dated without prior approval from the 2005, Exchange Particulars

Complied (Yes/ No/ N.A.) Remarks

Circular No. MCX/003/2006 dated January 03, 2006, Circular No. MCX/012/2006 dated January 10, 2006 and Circular No. MCX/COMP/113/2010 dated April 05, 2010 8.2 Circular No. MCX/069/2004 dated August 05, 2004, Circular No. MCX/COMP/374/2009 dated September 16, 2009 and Circular No. MCX/COMP/085/2010 dated March 18, 2010 8.3 Bye-law 14.9, Circular Not doing business with / for any No. MCX/011/2006 entity / member Page 21 of 28 who are Not used MCX Logo/Emblem

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange dated January 10, 2006, prohibited to transact including and Circular No. suspended/expelled/defaulter dated entities / members, defaulting constituents and employees of other trading member 8.4 Rules 38 (f), Circular Not No. dated 2006, indulged directly or Particulars

Complied (Yes/ No/ N.A.) Remarks

MCX/357/2006

September 02, 2006

MCX/551/2006 indirectly in any activity in the December Circular 13, nature of Portfolio Advisory

No. Services/ Portfolio Management dated Services 2006, No.

MCX/561/2006 December Circular 15,

MCX/COMP/399/2008 dated December 18,

2008 and Circular No. MCX/COMP/261/2010 dated July 26, 2010 8.5 Circular No. Complied with and Anti Know Money Your

MCX/COMP/488/2009 Laundering dated November

27, Customer( KYC) Norms

2009 and Circular No. MCX/COMP/313/2010 dated 2010 8.6 Circular No. Maintained Investors Grievances Page 22 of 28 September 03,

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange MCX/012/2006 dated January 10, 2006, Circular No. MCX/COMP/304/2007 dated September 01, 2007 and Circular No. MCX/COMP/113/2010 dated April 05, 2010 8.7 Bye Laws 2.3.5, Business Rules 10A, Circular No. MCX/MEM/282/2010 dated August 07, 2010, Circular No. MCX/MEM/317/2010 dated September 07, 2010, Circular no. MCX/MEM/047/2011 dated February 23, 2011 and Circular No. MCX/ MEM/044/2012 dated February 02, 2012 8.8 Circular No. MCX/MEM/282/2010 dated August 07, 2010, Circular No. Stopped dealing with other market than Persons Complied with the requirements related to dealings through records and no complaints were pending for more than 30 days Particulars

Complied (Yes/ No/ N.A.) Remarks

Authorised Persons

intermediaries registered

Authorised

w.e.f. Feb 01, 2011 Page 23 of 28

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange MCX/MEM/290/2010 dated August 16, 2010; Circular No. Particulars

Complied (Yes/ No/ N.A.) Remarks

MCX/MEM/428/2010 dated 2010, December Circular 01, No.

MCX/MEM/002/2011 dated January 03, 2011 and Circular No.

MCX/COMP/113/2010 dated April 05, 2010 8.9 Business Rule 24 (d) Not indulged in Circular Trading, Cross Dealing, Price Rigging,

Price Manipulation and Any other Market Abuses 8.10 Rules, Business Circular Bye-laws, No Offices/Branches/Franchises Rules and or User IDs/ (TWS) Trade or Work Trading

No. Stations

MCX/COMP/113/2010 Terminal are being used for doing dated April 05, 2010 unauthorized / illegal trading / fictitious transactions or any trade outside Exchange 8.11 Circular MCX/357/2006 No. Display of Notice Board as per dated Exchange requirement Page 24 of 28 the purview of the

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange September Circular MCX/259/2006 June 29, 02, 2006, No. dated 2006, dated and No. Particulars

Complied (Yes/ No/ N.A.) Remarks

MCX/295/2006 July 28, 2006

Circular

MCX/COMP/113/2010 dated April 05, 2010 8.12 Circular No. MCCP Certification obtained by at least one of the employees

MCX/TRN/087/2008 dated March 03, 2008, Circular No. MCX/

259/2006 dated June 29, 2006 and Circular No. MCX/357/2006 dated

September 02, 2006 8.13 Bye-law 4.8, No. Circular Stamp Duty paid

MCX/101/2005

dated March 14, 2005, Circular MCX/181/2005 May 11, 2005, No. dated and No.

Circular

MCX/COMP/113/2010 Page 25 of 28

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange dated April 05, 2010, 8.14 Bye-law 4.8, Business Services Tax/ Sales Tax/ VAT Particulars

Complied (Yes/ No/ N.A.) Remarks

Rules 21 (t), Circular paid No. MCX/176/2005

dated May 06, 2005, Circular No.

MCX/C&S/071/2010 dated March 09, 2010 and Circular No.

MCX/COMP/113/2010 dated April 05, 2010 8.15 Bye Law 10, Business Complied with all requirements Rule 21, Circular No. pertaining to delivery / receipt of MCX/176/2005 dated commodities May 06, 2005, Circular No. MCX/238/2005

dated June 29, 2005, MCX/267/2005 dated

July 22, 2005, Circular No. dated MCX/309/2005 September 02,

2005, and Circular No. MCX/405/2005 dated

December 03, 2005

Page 26 of 28

Rules/ Bye-laws/ Business Rules / Circulars of the Exchange 8.16 Business Rule 6(3), 10 Taken insurance policy and Circular No. Particulars

Complied (Yes/ No/ N.A.) Remarks

MCX/FINACCT/097/2010 dated March 25, 2010 8.17 Circular No. Segregation of BPO/KPO services Commodity Derivatives

MCX/COMP/127/2011 from dated April 16, 2011 Market

Place: _________

For and on behalf of ____________________ (Name of member)

Date: __________ Signature of Designated Director/Managing Director/ Managing Partner/Proprietor/Karta/ Authorized Signatory/Compliance Officer Name: _______________________

Rubber Stamp

Page 27 of 28

Notes: 1 Please note that the report is to be signed by Designated Director/Managing Director/ Managing Partner/Proprietor/Karta/ Authorized Signatory/Compliance Officer only. 2 All pages are to be initialed by Designated Director/Managing Director/ Managing Partner/Proprietor/Karta/ Authorized Signatory/Compliance Officer only. 3 Please note to enter only one of the alternatives- Yes/No/N.A.- whichever is appropriate, in the column Status of Compliance for each of the items. Members may please note that Yes in the fourth column of the ACR format implies compliance with the circular while No implies non compliance with the circular mentioned in the second column. Yes/ No is not with respect to the particulars given in the third column. 4 Please note that for items referred as Not Applicable, the member must provide reason for non applicability in the respective remarks column. 5 Please also note that no item shall be left blank and that any item that is left blank will be construed as not complied with. 6 Where space in remarks column is not sufficient for comment, please enclose self certified annexure/s. 7 Members are required to ensure that the reporting to be made in ACR is done after proper scrutiny of their records and incorrect reporting will attract a penalty of Rs.2,500/- per instance.

Page 28 of 28