Vision

To follow highest standards of ethics and compliances while facilitating the trading by clients in securities in a fair and transparent manner, so as to contribute in creation of wealth for investors.

Mission

• To provide high quality and dependable service through innovation, capacity enhancement and use of technology.
• To establish and maintain a relationship of trust and ethics with the investors.
• To observe highest standard of compliances and transparency.
• To always keep ‘protection of investors’ interest’ as goal while providing service.
• To ensure confidentiality of information shared by investors unless such information is required to be provided in furtherance of discharging legal obligations or investors have provided specific consent to share such information.

Services Provided to Investors by Stockbrokers

• Execution of trades on behalf of investors.
• Issuance of Contract Notes.
• Issuance of intimations regarding margin due payments.
• Facilitate execution of early pay-in obligation instructions.
• Periodic Settlement of client’s funds.
• Issuance of retention statement of funds at the time of settlement.
• Risk management systems to mitigate operational and market risk.
• Facilitate client profile changes in the system as instructed by the client.
• Information sharing with the client w.r.t. relevant Market Infrastructure Institutions (MII) circulars.
• Provide a copy of Rights & Obligations document to the client.
• Communicating Most Important Terms and Conditions (MITC) to the client.
• Redressal of Investor’s grievances.

Rights of Investors

• Ask for and receive information from a firm about the work history and background of the person handling your account, as well as information about the firm itself.
• Receive complete information about the risks, obligations, and costs of any investment before investing.
• Receive a copy of all completed account forms and rights & obligation document.
• Receive a copy of ‘Most Important Terms & Conditions’ (MITC).
• Receive account statements that are accurate and understandable.
• Understand the terms and conditions of transactions you undertake.
• Access your funds in a prescribed manner and be informed about any restrictions.
• Receive complete information about fees and penalties in the form of a tariff sheet.
• Discuss grievances with the compliance team and receive prompt and fair responses.
• Close zero balance accounts online with minimal documentation.
• Receive all policies including MITC related to your account dealings.
• Be treated fairly and equally as other clients.
• Receive only compliant advertisement materials.
• Be compensated via the Investor Protection Fund in case of broker default (as per norms).
• Trade in derivatives upon submission of financial documents and due diligence.
• Get warnings while trading securities under surveillance.
• Access services even if differently abled.
• Access investor education materials from MIIs and brokers.
• Access all exchanges within a segment unless opted out.
• Choose one or more stockbrokers without being forced to commit minimum business.
• Use an escalation matrix to contact the broker.
• Not be subject to any unlawful or unfair broker-imposed clauses.