POLICIES & PROCEDURES

In compliance with regulatory mandates, the stock broker operates under structured frameworks to safeguard market integrity and client operations. Below are the key policy indicators details:

• ✓ Refusal of orders for penny/illiquid stock.
• ✓ Setting up client's exposure limits.
• ✓ Applicable brokerage rate structures.
• ✓ Imposition of penalty/delayed payment charges.
• ✓ Right to liquidate security margins without notice upon dues default.
• ✓ Shortages in obligations arising out of internal netting of trades.
• ✓ Position closing protocols & conditional trading locks.
• ✓ Client de-registering frameworks.
• ✓ Policy regarding treatment of inactive and dormant accounts.