​

▪ Beware of fixed/guaranteed/regular returns/capital protection schemes. Brokers or their authorised
persons or any of their associates are not authorised to offer fixed/guaranteed/regular returns/capital
protection on your investment or authorised 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 authorised 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 authorised person or
an associate of the broker, other than a SEBI registered Stock broker.”