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Policies
Sr.No Date Caption File
1 07-Nov-25 Policies procedures surveillance policy
2 07-Nov-25 PMLA policy
3 07-Nov-25 Common SOP for operation of accounts in case of an incapacitated Investor
4 07-Nov-25 SOP for Processing Surveillance Alerts
5 23-Jan-25 Client Referral Policy
6 18-Jan-25 Dealing Room Policies
7 17-Dec-24 Insider Trading Policy
8 03-Dec-24 Policy on Handling of Good Till Date
9 07-Oct-24 Voluntary Freeze
10 21-Jun-24 Cyber Security and Cyber Resilience Policy
11 20-Jun-24 Internal Shortage Policy
12 20-Jun-24 User Management Policy
13 24-jul-23 Password Policy
14 25-May-22 Conflicts of interest policy
15 25-May-22 Dealing in stock market
16 25-May-22 Error code policy
17 21-Sep-22 Inactive & dormant account
18 25-May-22 Internal control policy & procedures
19 25-May-22 Kra policy
20 25-May-22 Limits setting policy
21 25-May-22 Margin collection & reporting & actual settlement policy
22 25-May-22 Policy for pre funded instruments
23 25-May-22 NISM Series - VII
24 25-May-22 Policy for unauthentic news circulation
25 25-May-22 Policies & procedures
26 25-May-22 Policy on beneficial ownership
27 25-May-22 Policy on surveillance of transaction alerts
28 25-May-22 Risk managemnt system policy
29 25-May-22 Surveillance Policy
30 25-May-22 System and Procedure
31 25-May-22 Alert policy
32 30-May-22 Rights & Obligations
 

Attention Investors : Prevent Unauthorised transactions in your account. Update your mobile numbers/email IDs with your stock brokers / DP and Exchanges / Depository. Receive information of your transactions directly from Exchanges / Depository 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 from to authorize your bank to make payment in case of allotment. No worries for refund as the money remains in investor’s account.’

Registration granted by SEBI and certification from NISM in no way guarantee performance of the intermediary or provide any assurance of returns to investors.