Investor Charter & Regulatory Disclosures

Vision, mission & services

Vision

To invest in securities markets with confidence, backed by fair, transparent and efficient service from a compliant Authorised Person.

Mission

• To facilitate access to the securities market in a fair and transparent manner.
• To provide accurate information on products and services without mis-selling.
• To protect the interests of investors and their assets by ensuring settlement through the regulated broker.
• To promote investor education and awareness.

Services provided (as an Authorised Person)

• Assistance with demat & trading account opening and KYC on behalf of the broker.
• Facilitation of orders in equity and equity derivatives (F&O) segments.
• Facilitation of algorithmic (rule-based automated) trading via the broker's exchange-approved frameworks.
• Facilitation of IPOs, bonds and other listed products.
• Client servicing — statements, ledgers, margin information and query resolution.
• Grievance handling and escalation support.

Rights of investors

• Right to fair, courteous and non-discriminatory treatment.
• Right to complete and accurate information about products, charges and risks.
• Right to have your funds and securities settled only through the broker's regulated accounts.
• Right to timely execution, contract notes and statements.
• Right to privacy and confidentiality of your personal and financial information.
• Right to a fair and prompt grievance redressal mechanism.

Do's & Don'ts for investors

Expectations from investors (responsibilities)

• Read all documents and understand risks, brokerage and other costs before investing.
• Provide accurate KYC information and keep it updated.
• Verify details in contract notes and statements and report discrepancies promptly.
• Maintain adequate margins and settle obligations on time.

Grievance redressal mechanism

We are committed to resolving your concerns quickly and fairly. Please follow this escalation path:

Disclosure of investor complaints

As required by SEBI, data on investor complaints received against the broker/AP is disclosed monthly. The table below is a template — populate it from your actual records each month.

Also maintain a trend of monthly disposal and pending complaints for at least the last several months/years, as prescribed.

Risk disclosures

General: Investment in securities market is subject to market risks. Read all the related documents carefully before investing. Past performance is not indicative of future results. Derivatives are leveraged products and can result in losses exceeding your initial margin. The securities/products referenced on this site, if any, are for illustration only and are not recommendatory.

Attention investors

• Stock brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 1, 2020.
• Update your mobile number & email ID with your broker/DP to receive OTPs and transaction alerts directly from the depository.
• Check your securities / mutual funds / bonds in the monthly consolidated account statement issued by NSDL/CDSL.
• KYC is a one-time exercise while dealing in securities markets — done once through a SEBI-registered intermediary, it need not be repeated.
• No need to issue cheques while subscribing to an IPO — just write your bank account number and sign to authorise payment; money stays in your account until allotment.
• Prevent unauthorised transactions — do not share your trading credentials or OTP with anyone, including our staff.

Terms, policies & registration

Registration granted by SEBI and certification from NISM in no way guarantee the performance of the intermediary or provide any assurance of returns to investors. Brokerage will not exceed the maximum limit prescribed by SEBI.