Disclaimer

No need to issue cheques by investors while subsribing 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.

“KYC is one-time exercise while dealing in securities market – once KYC is done through a SEBI registered intermediary (Broker, DP, Mutual Funds etc), you need not undergo the same process again while you approach another intermediary.

Prevent Unauthorized Transactios in your demat/trading account Update Your Mobile Number/email ID with your stock broker/Depository participant. Receive information of your transactions directly from Exchanges on your mobile/ email at the end of day and alerts on your registered mobile for all debits and other important transactions in your demat account directly from NSDL on the same day."- Issued in the interest of investors. Circular No.: NSDL/POLICY/2014/0094, NSE/INSP/27436, BSE-20140901-21

Kindly note that as per NSE circulars nos: NSE/INVG/36333 dated November 17,2017, NSE/INVG/37765 dated May15.2018 and BSE circular nos:20171117-18 dated November 17,2017,20180515-39 dated May 15.2018, trading in securities in which unsolicted message are being circulated is restricted. The list of such stock are availble on the website of NSE & BSE.

The Stock Exchange is not in any manner answerable, responsible or liable to any person or persons for any act of omission or commission, errors, mistakes and / or volitation, actual or perceived, by us or our partners, agents, associates etc. of any of the Rules, Regulations, Bye-laws of the Stock Exchange, SEBI Act or any other laws in force from time to time. The Stock Exchange is not answerable, responsible or liable for any information on this website or for any services rendered by our employees, our servants and us.

Please do not share your online trading password with anyone as this could weaken the security of your account and lead to unathorised trades or losses. The cautionary note is as per Exchange circular dated May 15, 2020.

Vivek Financial is a AMFI registered Mutual Funds Advisor, AMFI Registration Number ARN 19901. These are not exchange trades products / services. Vivek Financial is acting as distributor / agent of Mutual Funds and all disputes with respect to distribution activity would not have access to Exchange investor redressal or Arbitration mechanism.

Investor awareness regarding the revised guidelines on margin collection:

• 1. Stock brokers can accept securities are margins from clients only by a way of pledge in depository system with effect from September 1, 2020.
• 2. Update your mobile number and email ID with your stock broker / depository participant to receive OTP directly from depository on your email ID / mobile number to create pledge.
• 3. Pay 20% upfront margin of a transaction value to trade in cash market segment.
• 4. Investors may please refer to Exchange’s frequently answered questions (FAQs) issued vide circular reference number NSE/INSP/45191 dated July 31, 2020, notice number 20200731-7 dated July 31, 2020 and NSE/INSP/45534 dated August 31, 2020, notice number 20200831-45 dated August 31, 2020 and other guidelines issued from time to time in this regard.
• 5. Check your securities / MF / Bonds in the consolidated account statement issued by NSDL every month.

Filings complaints on SCORES - Easy & Quick

• Registration on SCORES portal
• Mandatory details of filing complaints on SCORES
• Name
• PAN
• Address
• Mobile Number
• Email ID
• Benefits
• Effective Communication
• Speedy redressal of grievances

Attention 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.”

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