Advisory for KYC updation| Dalal & Broacha

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Advisory for KYC updation

20220114-8.pdf
Annexure I_Advisory for KYC updation.pdf
ISC51035.pdf
Advisory issued by CDSL.pdf

For any investor grievances or complaints, kindly contact: compliance.officer@dalal-broacha.com

Compliance Officer Details: Chaitali M Shah compliance.officer@dalal–broacha.com.+91 022 2282 2992.Ext. 168.

SEBI Registration Nos. : BSE Cash / BSE Deri / NSE Cash / NSE Deri: INZ000210337 | CDSL: IN – DP – CDSL – 17 – 99 | PMS: INP000001975 | Research Analyst: INH000001246

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Disclaimer | Downloadable Forms |INVESTOR CHARTER | Link Pan and Aadhaar | MF Commissions | Advisory for Investors | Attention Investor | Research Reports | CSR Policy | SCORES

Regd. Office: 506, Maker Chambers V, 221, Nariman Point, Mumbai - 400021.

Attention Investors: 1) Prevent Unauthorised transactions in your account. Update your Mobile Numbers/Email IDs with your Stock Brokers. Receive information of your transactions directly from Exchange on your Mobile/Email at the end of the Day. 2) Prevent Unauthorized Transactions in your demat account. Update your Mobile Number with your Depository Participant. Receive alerts on your Registered Mobile for all debit and other important transactions in your demat account directly from CDSL / NSDL on the same day. 3) 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. 4) No need to issue cheques by investors while subscribing to IPO. Just write Bank Account Number & 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. 5) With reference to the Notification No. 10/2017/F. No. P.12011/11/2016-ES Cell-DoR issued by Ministry of Finance ,Department of Revenue-New Delhi dtd.13.12.2017 directed, it is now mandatory to obtain Aadhar Number and Permanent Account Number of all the clients by 31st March 2018. In case a client fails to submit the Aadhar Number within the said period his/her account shall cease to be operational(Trading+Demat Account) till the time Aadhar Number is submitted/updated. 6) As per SEBI notification number SEBI/LAD-NRO/GN/2018/24 dated June 08, 2018, transfer of securities of listed companies shall not be processed unless the securities are held in the demat form. The same shall be effective from December 05, 2018. Hence, ensure demat of physical securities well in advance for transfers. 7) Stock Brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 1, 2020. 8) Update your mobile number & email Id with your stock broker/depository participant and receive OTP directly from depository on your email id and/or mobile number to create pledge. 9) Pay 20% upfront margin of the transaction value to trade in cash market segment. 10) Investors may please refer to the Exchange's Frequently Asked Questions (FAQs) issued vide notice no. 20200731-7 dated July 31, 2020 and 20200831-45 dated August 31, 2020 and other guidelines issued from time to time in this regard. 11) Check your Securities /MF/ Bonds in the consolidated account statement issued by NSDL/CDSL every month. Issued in the interest of Investors.

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