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General Guidelines

Do’s : 

  • Always deal with the market intermediaries registered with SEBI / stock exchanges.
  • Collect photocopies of all documents executed for registration as a client, immediately on its execution. Ensure that the documents or forms for registration as Client, are fully filled in.
  • Give clear and unambiguous instructions to your broker / agent / depository participant.
  • Always insist on contract notes from your broker. In case of doubt in respect of the transactions, verify the genuineness of the same on the BSE website.
  • Always settle the dues through the normal banking channels with the market intermediaries.
  • Before placing an order with the market intermediaries, please check about the credentials of the companies, its management, fundamentals and recent announcements made by them and various other disclosures made under various regulations. The sources of information are the websites of Exchanges and companies, databases of data vendor, business magazines etc.
  • Adopt trading / investment strategies commensurate with your risk-bearing capacity as all investments carry some risk, the degree of which varies according to the investment strategy adopted.
  • Carry out due diligence before registering as client with any intermediary. Carefully read and understand the contents stated in the Risk Disclosure Document, which forms part of the investor registration requirement for dealing through brokers.
  • Be cautious about stocks which show a sudden spurt in price or trading activity, especially low price stocks.
  • There are no guaranteed returns on investment in thestock market .
  • Always keep copies of all investment documentation (e.g. application forms, acknowledgements slips, contract notes).
  • Always keep copies of documents you are sending to companies, Trading Member, Registrar and Transfer Agent, etc.
  • Send important documents by a reliable mode (preferably through registered post) to ensure delivery.
  • Ensure that you have money before you buy.
  • Ensure that you are holding securities before you sell.
  • Follow up diligently and promptly e.g. If you do not receive the required documentation within a reasonable time, contact the concerned person; i.e. the Trading Member, company etc., immediately.
  • Mention clearly whether you want to transact in physical mode or in demat mode.
  • Lodge your Arbitration Application against the Trading Member, at the concerned Regional Investor Service Centre, by confirming geographical jurisdiction. Please use for the purpose, your address as intimated to your Trading Member by following due process of law. The details of geographical jurisdiction of each Regional Investor Service Centre are also available on the Contract Note. The period consumed in redressal of complaint thru IGRC services will not be considered while measuring period of ‘limitation’ in filing arbitration application provided the complaint and / or arbitration application is / are filed at the concerned Regional Investor Service Centre.
  • Lodge your complaint against a company listed on BSE, at the concerned Regional Investor Service Centre, by confirming geographical jurisdiction. Please use your address for deciding the geographical jurisdiction. This will enable to process the complaint expeditiously.

Dont’s :

  • Don’t deal with unregistered brokers / sub – brokers, or other unregistered intermediaries.
  • Don’t execute any documents with any intermediary without fully understanding its terms and conditions.
  • Don’t file your arbitration application against trading member, in the Regional Investor Service Centre having no geographical jurisdiction.over the matter. Please use for the purpose, your address as intimated to your Trading Member by following due process of law
    The Exchange redresses investors’ complaints thru arbitration and IGRC mechanism, which are quasi-judicial in nature. The period consumed in redressal of complaint thru IGRC will not be considered while measuring period of ‘limitation’ in filing arbitration application provided the complaint is filed at the concerned Regional Investor Service Centre.
  • Don’t file your grievance /s against companies listed on BSE, in the Regional Investor Service Centre having no geographical jurisdiction over the matter, for its expeditious redressal.Please use your address for deciding the geographical jurisdiction.
  • Don’t deal based on rumours or ‘tips’.
  • Don’t fall prey to promises of guaranteed returns.
  • Don’t get misled by companies showing approvals / registrations from Government agencies as the approvals could be for certain other purposes and not for the securities you are buying.
  • Don’t leave the custody of your Demat Transaction slip book in the hands of any intermediary.
  • Don’t get carried away with advertisements about the financial performance of companies in print and electronic media.
  • Don’t blindly follow media reports on corporate developments, as some of these could be misleading.
  • Don’t blindly imitate investment decisions of others who may have profited from their investment decisions.
  • Don’t forgo obtaining all documents of transactions, in good faith even from people whom you know.
  • Don’t forget to take note of the risks involved in an investment.
  • Don’t get misled by guarantees of repayment of your investments through post-dated cheques.
  • Don’t hesitate to approach concerned persons and then the appropriate authorities.
  • Don’t get swayed by promises of high returns.                

   ..We understand We care … 

Safe guards’ for Investors’

These are some of the safeguards the investors should keep in mind before trading in the securities market.

  1. Selectinga Broker/ Sub – BrokerDeal only with a SEBI registered Broker / Sub – broker after due diligence. Details of the BSE Brokers can be obtained from the Member’s List published by BSE and from the website :
  2. Entering into an AgreementFill in a Client registration form with the Broker / Sub – brokerEnter into Broker / Sub – broker – Client Agreement. This agreement is mandatory for all investors for registering as a client of a BSE Trading Member. Ensure the following before entering into an agreement:Carefully read and understand the terms and conditions of the agreement before executing the same on a valid stamp paper of the requisite value Agreement to be signed on all the pages by the Client and the Member or their representative who has the authority to sign the agreement. Agreement has also to be signed by the witnesses by giving their names and addresses. Please note that Regulatory Authorities have not stipulated for execution of any document other than Broker/ Sub – Broker / Client Agreement.
  3. TransactingSpecify to the Broker / Sub – broker, the exchange through which your trade is to be executed and maintain separate account for each exchange.Obtain a valid Contract Note from the Broker / Sub-broker within 24 hours of the execution of the trade. Contract note is a confirmation of trade(s) done on a particular day for and on behalf of a client in a format prescribed by BSE. It establishes a legally enforceable relationship between the Trading Member and his Client in respect of settlement of trades executed on BSE as stated in the Contract Note. Contract Notes are made in duplicate, and the Trading Member and Client, both keep one copy each. The Client is expected to sign on the duplicate copy of the Contract Note, confirming receipt of the original.
    1. Contract Note – Form ‘A’ – Contract Note issued where Member is acting for constituents as brokers/ agents.
    2. Contract Note – Form ‘B’ – Contract Note issued by Members dealing with constituents as principals.

Ensure that the Contract Note contains: SEBI registration number of the Trading Member/ Sub – broker Details of trade such as, Order no, trade no., trade time, quantity, price, brokerage, settlement number, details of other levies.

Trade price should be shown separately from the brokerage charged. The maximum brokerage that can be charged is Rs.0.25 per share/debenture or 2.5% of the contract price per share / debenture whichever is higher. This maximum brokerage is inclusive of the brokerage charged by the sub-broker (Sub-brokerage cannot exceed 1.5% of the contract price.) Any additional charges that a Trading Member can charge are Service Tax on the brokerage, any penalties arising on behalf of client and Securities Transaction Tax (STT). The brokerage, service tax and STT are required to be indicated separately in the Contract Note.

Signature of authorised representative.

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Algo trading can be simply defined as a system which can place buy / sell orders, based on pre-defined rules.

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