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 Attention Investors 1. Stock Brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 01, 2020. 2. Update your email id and mobile number with your stock broker depository participant and receive OTP directly from depository on your email id and/or mobile number to create pledge. 3. Check your securities / MF bonds in the consolidated account statement issued by NSDL/CDSL every month..........Issued in the interest of Investors "Gopalji Broking Private Limited" are also doing proprietary (Own A/C) trading in addition to client's trading.

POLICIES & PROCEDURES

Refusal of orders for penny/illiquid stock
Setting up client's exposure limits and conditions under which a client may not be allowed to take further position or the broker may close the existing position of a client
Applicable brokerage rate
Imposition of penalty/delayed payment charges
The right to sell clients' securities or close clients' positions, without giving notice to the client, on account of non-payment of client's dues
Shortages in obligations arising out of internal netting of trades
Conditions under which a client may not be allowed to take further position or the broker may close the existing position of a client
De-registering a client
Policy regarding treatment of inactive accounts

POLICIES & PROCEDURES

Documents describing significant policies and procedures of the stock broker

Policy for Voluntary Freezing Online Access of Clients Trading Account

Documents describing AML policy

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 on the same 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 an 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 the investor's account.

POLICIES & PROCEDURES