ADVISORY – KYC COMPLIANCE |
Whether the Member has displayed the following message at a prominent place on the homepage of their website (if any).
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"Prevent Unauthorized transactions in your Trading and or demat account, Update your Mobile/Email-IDs with your Stock Broker/Depository Participant. Receive alerts on your registered mobile/E-mail ID for all debit and other important transactions in your demat account directly from CDSL and information of your transactions directly from Exchange on the same day." Read More |
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Whether the Member has mentioned on website, "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." Read More |
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Whether the Member has mentioned on website "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."Read More |
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"Check your securities / MF / bonds in the consolidated account statement issued by NSDL/CDSL every month........... Issued in the interest of Investors" Read More |
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Whether the Member has mentioned on website, "Stock Brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 01, 2020.Read More"
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Whether the Member on website has made the Set of Standard Documents available in English and Vernacular LanguagesRead More
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Whether the Member has mentioned on website, "Please note as per instructions from SEBI. it is mandatory to update your "Name, Address, PAN, Mobile No, Email Id & Income Range" with your broker before 30th September, 2021. In order to continue enjoying services in your DEMANT & TRADING A/Cs."Read More
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Whether the Member has displayed the following information on their website: "Filing Complaints on SCORES- Easy & quick"
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Whether the link to SCORES website is available on website or not.Read More |
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Whether the Member has displayed the procedure for filing complaints on SCORES and the benefits of filing Complaint on SCORES.Read More |
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Whether the Member has mentioned on website The "Advisory for Investors"Read More
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Whether the member has provided the E-voting on website link as per the circularRead More
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Whether the Member has displayed the Investor Grievances "escalation matrix" on the website and mobile application under the ‘Contact Us’ page.Read More
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Whether the Member has mentioned on website the following Regulations
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Regulations 19 & 20 of SECC RegulationRead More |
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Regulation 6(b) of SEBI (Depositiories and Participants) Regulations, 2012Read More |
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Schedule II of SEBI (Intermediaries) Regulations, 2008Read More |
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