Essential Information

Compliance

Compliance Officer (Stock broking): Hiral Jain
Email address: [email protected]

Compliance Officer (DP operations): Charmi Shah
Email address: [email protected]

For registering your grievances with us, mail at: [email protected]

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• Risk Disclosures On Derivatives
  - 9 out of 10 individual traders in equity Futures and Options Segment, incurred net losses.
  - On an average, loss makers registered net trading loss close to ₹ 50,000.- Over and above the net trading losses incurred, loss makers expended an additional 28% of net trading losses as transaction costs.
  - Those making net trading profits, incurred between 15% to 50% of such profits as transaction cost.

Source: SEBI study dated January 25, 2023 on “Analysis of Profit and Loss of Individual Traders dealing in equity Futures and Options (F&O) Segment”, wherein Aggregate Level findings are based on annual Profit/Loss incurred by individual traders in equity F&O during FY 2021-22.

• Filing complaints on SEBI Complaint Redress System (SCORES) - Easy & quick> Register on SCORES portal > Mandatory details for filing complaints on SCORES: Name, PAN, Address, Mobile Number, E-mail ID.> Benefits: Effective communication - Speedy redressal of the grievances.You can file complaints on SCORES here
• For online dispute resolution platform - Smart ODR.
• Attention Investors (1) Stock Brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 01, 2020. (2) Update your email id and mobile number with your stock broker / depository participant and receive OTP directly from depository on your email id and/or mobile number to create pledge. (3) Check your securities/MF/bonds in the consolidated account statement issued by NSDL/CDSL every month. Issued in the interest of Investors.
• Prevent Unauthorized Transactions in your demat account --> Update your Mobile Number with your Depository Participant. Receive alerts on your Registered Mobile for all debit and other important transactions in your demat account directly from CDSL on the same 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
• No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign in the application form to authorise your bank to make payment in case of allotment. No worries for refund as the money remains in investor's account.
• Clients/ Investors dealing in Options are cautioned against:> Sharing of trading credentials - login id & passwords including OTP's.> Trading in leveraged products like options without proper understanding, which could lead to losses.> Writing/ selling options or trading in option strategies based on tips, without basic knowledge & understanding of the product and its risks.> Dealing in unsolicited tips through Whatsapp, Telegram, YouTube, Facebook, SMS, calls, etc.> Trading in “Options” based on recommendations from unauthorised / unregistered investment advisors and influencers.
• Disclaimer: Investments in securities market are subject to market risks; read all the related documents carefully before investing.