To follow highest standards of ethics and compliance while facilitating transparent, efficient, and fair access to the securities market for investors.
To provide reliable, prompt, and transparent stock broking services.
To ensure investor awareness about rights, responsibilities, and risks.
To maintain confidentiality and safeguard investor data.
To resolve investor grievances in a time-bound manner.
A stock broker registered with Securities and Exchange Board of India (SEBI) provides the following services:
Execution of trades in equity, derivatives, currency, commodity, and debt segments.
Internet-based trading facilities.
Margin trading and pledge services (as permitted).
Portfolio and risk management support.
Research reports and market insights (if applicable).
Assistance with IPO, mutual fund, and other investment products (if authorized).
Investors dealing with a SEBI-registered stock broker have the right to:
Receive fair and transparent services.
Obtain complete information about brokerage, fees, and charges.
Receive contract notes and statements for all transactions.
Access their ledger, margin, and holding statements.
Get timely payout of funds and securities.
Lodge complaints and seek redressal through proper mechanisms.
Investors may escalate unresolved grievances to:
The Stock Exchange
SEBI through SCORES (SEBI Complaints Redress System)
Investors are expected to:
Provide accurate KYC (Know Your Customer) information.
Read and understand all risk disclosure documents before trading.
Monitor trades and statements regularly.
Maintain confidentiality of login credentials and OTPs.
Ensure sufficient funds/securities before placing trades.
Promptly report discrepancies or unauthorized transactions.
Execute trades as per investor instructions.
Issue contract notes within 24 hours of trade execution.
Credit securities to client’s demat account.
Process pay-outs of funds/securities within stipulated timelines.
Maintain investor records securely.
If an investor has any complaint:
Contact the broker’s Compliance Officer.
If unresolved, approach the concerned Stock Exchange.
Further escalation can be done to SEBI through SCORES.
Online Dispute Resolution (ODR) platform is also available for dispute resolution.
Always deal with SEBI-registered intermediaries.
Verify contract notes and statements.
Keep contact details updated.
Use official communication channels of the broker.
Review Risk Disclosure Documents carefully.
Do not share trading credentials with anyone.
Do not sign blank documents.
Do not ignore margin calls.
Do not trade based on rumors or unverified tips.
Do not issue cheques in the name of employees.
Investment in securities markets is subject to market risks. Prices of securities may fluctuate due to market conditions, economic developments, and global events. Past performance does not guarantee future returns. Investors should carefully assess their risk appetite before investing.