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Indicative activities falling under basic elementary level/clerical level

Internal control or risk management

  1. Inwarding of collateral’s/cheques
  2. Person performing maker entries
  3. Maker entry in the database
  4. Photocopying, printouts, scanning of documents
  5. Preparing of MIS
  6. Sending of letters/reports to clients, Exchanges, SEBI
  7. Attending calls, etc.

Redressal of investor grievances

  1. Inwarding of complaints,
  2. Seeking documents from clients
  3. Person performing maker entries
  4. Maker entry in the database
  5. Photocopying, printouts, scanning of documents
  6. Preparing of MIS
  7. Sending of letters/reports to clients, Exchanges, SEBI Updation, data entry, uploading on SCORES.
  8. Attending calls, etc.

Activities having a bearing on operational risk and dealing with assets or funds of investors or clients

  1. Person performing maker entries
  2. Maker entry in the database
  3. Preparing MIS
  4. Generating reports, Files
  5. Photocopying, printouts, scanning of documents
  6. Dispatching documents to clients
  7. Sending of letters/reports to clients, Exchanges, SEBI
  8. Attending calls, etc.