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Safety Guidlines

(Guidelines issues by NSE on 22nd Feb in public interest in a daily newspaper)

Dear Investor

Over the years, National Stock Exchange (NSE) has introduced on-line trading in securities, settlement guarantee, internet based trading, derivatives etc for the benefit of investors. Drawing from our experience in helping protect investor interest, we would like to share with you a set of practices that you should follow. These guidelines will go a long way towards reducing your grievances and providing cover under the Investor Protection Fund extended by NSE for transactions executed on the Exchange

Safety Guidelines for Trading:

  • Please ensure that you receive payments/deliveries from your broker, for the transactions entered by you, within one working day of the payout date.
  • Ensure that you do not undertake deals on behalf of others or trade on your own name and then issue cheques from family members’/friends’ bank accounts.
  • Similarly, the Demat delivery instruction slip should be from your own Demat account, not from any other family members’/friends’ account.
  • Do no sign blank delivery instruction slip(s) while meeting security pay-in obligation.
  • Don’t accept unsigned/duplicate contract note.
  • Don’t accept contract note signed by any unauthorized person.
  • Don’t delay payment/deliveries of securities to broker.
  • In the event of any discrepancies/disputes, please bring them to the notice of the broker immediately in writing (acknowledged by the broker) and ensure.
  • Their prompt rectification
  • In case of sub-broker disputes, inform the main broker in writing about the dispute at the earliest and in any case not later than 6 months.
  • If your broker/sub-broker does not resolve your complaints within a reasonable period (say within 15 days), please bring it to the attention of the ‘Investor Grievances Cell’ of the NSE. You can log on to the NSE website (www.nseindia.com) at URL: www.nseindia.com/content/assist/asst_invcentre.htm to get the format of the complaint and the modalities of filling it with NSE While lodging a complaint with the ‘Investor Grievances Cell’ of the NSE, it is very important that you submit copies of all relevant documents like contract notes, proof of payments/delivery of shares etc. alongwith the complaint.
  • Remember, in the absence of sufficient documents, resolution of complaints becomes difficult.
  • Familiarize yourself with the rules, regulations and circulars issued by stock exchanges/SEBI before carrying out any transaction.
  • Don’t get carried away by luring advertisements, market rumours or get into shady transactions.
  • Recognizing the importance of investors inputs with respect to any possible undesirable trading practices in the securities market, the Exchange has provided a toll free facility where investors can get their inputs recorded in either English or Hindi. The Exchange will ensure complete secrecy to the investors.” Toll Free Telephone Number – 1800 22 0051

These guidelines are for your benefit. Act on it

Issued in public interest by NSE “Exchange Plaza”, Bandra-Kurla Complex, Bandra (E), Mumbai – 400 051 Tel: 022 – 26598100-8114, Fax: 022 26598120, Email:cc_nse@nse.co.in

SIHL House, Opp.Ambawadi Jain Temple, Nehrunagar Cross Roads, Ahmedabad-380015

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. Issued in the interest of investors.

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.

No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and 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

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