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Archives Notices Data
List of documents, notifications regarding compliance related requirements....
Disclosure of Investor Complaints_Jul23
RISK DISCLOSURES ON DERIVATIVES
Disclosure of Investor Complaints_Jun2023
Disclosure of Investor Complaints_May2023
Disclosure of Investor Complaints
Disclosure of Investor Complaints
Disclosure of Investor Complaints_Mar23
Disclosure of Investor Complaints_Feb23
Disclosure of Investor Complaints_Jan23
Disclosure of Investor Complaints_Nov22
Disclosure of Investor Complaints_Dec22
Disclosure of Investor Complaints_Oct22
Disclosure of Investor Complaints_Sep22
Disclosure of Investor Complaints_Aug22
Disclosure of Investor Complaints_Jul22
Dos and Don’ts and best practices to be followed for CDSL demat accountholders
Disclosure of Investor Complaints
Disclosure of Investor Complaints
Disclosure of Investor Complaints
Disclosure of Investor Complaints
Disclosure of Investor Complaints
Disclosure of Investor Complaints
Investor Charter - IA_Broking
Investor Charter - DP
Standard_KYC
DP_Rights_Obligations
Broking_Rights_Obligations_Policies_Procedures
Revised POA wef 01-08-2020
SEBI_Circular_on_Collection_and_Reporting_of_Margin_in_Cash_Market
SEBI_Circular_on_Margin_Shortfall_Penalty
Dos&Donts
Vernacular Language KYCs
Voluntary Policies
Risk Disclosure Document
Rights & Obligation Trading
Rights Obligation Demat
Policies & Procedures
PMLA Write-up
NEW KRA FORMS
KYC New 1
RMS POLICY
Freezing of Non KRA KYC Compliant Accounts
KRA - KYC - Non Individual
KRA - KYC Individuals
DP-BO Rights and Obligations
Simplification of demat account opening process
Basic Services Demat A/c
KYC Risk Disclosure
KYC Instructions
KYC A/c Opening
Policies 7 Procedures
SEBI Caution for Investors
SEBI Toll-free Helpline Service for Investors
NEW KYC
SPS Policy
Trading in IPO & Relisted Securities
MCX Commodities - Client Code Modification
SEBI -Derivatives Margin Penalty
SEBI Circular- Client Code Modifications
Advisory from BSE for Trading in Illiquid Securities
SEBI Circular - Short-collection/Non-collection of clientmargins(Derivatives Segments)
SEBI - Client Code Modification
SEBI - Caution to Investors
Member Client Agreement
Risk Disclosure Document
Policies
Arbitration Mechanism
FAQ on Options on USD-INR Currency
Cheque Deposit by Branches
Addendum for Clients
RBI Circular
Anti Money Laundering (AML) - FAQs
Guide to understand an Offer Document
RMS Policy - SPS
SEBI - Caution to Investors
DP Forms for Email
CDSL - SMART (SMS) Registration
CDSL - ELectronic Statements for existing clients
CDSL - Nomination Form
CDSL Facilities Registration
Demat Instruction Books
In Person Verification
Auction Charges
Increase in Transaction Charges
Non - Recoverables
Cheque Return Charges
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Attention Investors :
"Prevent Unauthorised transactions in your account. Update your mobile numbers/email IDs with your stock brokers. Receive information of your transactions directly from Exchange on your mobile/email at the end of the day .......... Issued in the interest of investors" | KYC is one time exercise while dealing in securities markets - once KYC is done through a SEBI registered intermediary broker, DP, Mutual Fund etc.), you need not undergo the same process again when you approach another intermediary. | " No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign in the application form to authorize your bank to make payment in case of allotment. No worries for refund as the money remains in investor's account."
Advisory for Investors :
"Beware of fixed/guaranteed/regular returns/ capital protection schemes. Brokers or their authorized persons or any of their associates are not authorized to offer fixed/guaranteed/regular returns/capital protection on your investment or authorized to enter into any loan agreement with you to pay interest on the funds offered by you. Please note that in case of default of a member claim for funds or securities given to the broker under any arrangement/ agreement of indicative return will not be accepted by the relevant Committee of the Exchange as per the approved norms. || Do not keep funds idle with the Stock Broker. Please note that your stock broker has to return the credit balance lying with them, within three working days in case you have not done any transaction within last 30 calendar days. Please note that in case of default of a Member, claim for funds and securities, without any transaction on the exchange will not be accepted by the relevant Committee of the Exchange as per the approved norms. || Check the frequency of accounts settlement opted for. If you have opted for running account, please ensure that your broker settles your account and, in any case, not later than once in 90 days (or 30 days if you have opted for 30 days settlement). In case of declaration of trading member as defaulter, the claims of clients against such defaulter member would be subject to norms for eligibility of claims for compensation from IPF to the clients of the defaulter member. These norms are available on Exchange website at following link: https://www.nseindia.com/invest/about-defaulter-section || Brokers are not permitted to accept transfer of securities as margin. Securities offered as margin/collateral MUST remain in the account of the client and can be pledged to the broker only by way of ‘margin pledge’, created in the Depository system. Clients are not permitted to place any securities with the broker or associate of the broker or authorized person of the broker for any reason. Broker can take securities belonging to clients only for settlement of securities sold by the client. || Always keep your contact details viz. Mobile number/Email ID updated with the stock broker. Email and mobile number is mandatory and you must provide the same to your broker for updation in Exchange records. You must immediately take up the matter with Stock Broker/Exchange if you are not receiving the messages from Exchange/Depositories regularly. || Don't ignore any emails/SMSs received from the Exchange for trades done by you. Verify the same with the Contract notes/Statement of accounts received from your broker and report discrepancy, if any, to your broker in writing immediately and if the Stock Broker does not respond, please take this up with the Exchange/Depositories forthwith. || Check messages sent by Exchanges on a weekly basis regarding funds and securities balances reported by the trading member, compare it with the weekly statement of account sent by broker and immediately raise a concern to the exchange if you notice a discrepancy. || Please do not transfer funds, for the purposes of trading to anyone, including an authorized person or an associate of the broker, other than a SEBI registered Stock broker."