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01-Feb-2023

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Be a Smart Investor


  • Assured returns or fixed returns is a promise no one can make.
  • Be aware, your investment is at stake
  • Never trust written or oral promises of assured return in equity and derivatives markets.
  • Do not invest in any business/activity that is not allowed under the Byelaws, Rules & Regulations and circulars of SEBI/Exchanges including operating any schemes of unauthorised collective investments/portfolio management, promising indicative/ guaranteed/fixed returns/payments etc.
  • Do not get lured by claims of huge returns on investment based on certain strategies by Back testing and claims that similar returns would be earned in the future.
  • Any investment in such schemes are not eligible for compensation from the Exchange.

You may report such practices to us on Feedbk_invg@nse.co.in, or call us on 1800 22 0059

  • Trade in derivatives with caution and only if you are familiar with the product and risk involved
  • Trade in options only if you have relevant trading experience and high-risk tolerance.
  • An option writer risks losing substantial amount if the underlying price movement is not in the anticipated direction.
  • An option holder runs the risk of losing the entire amount paid in a relatively short period of time.
  • Writing options to recover losses made in the markets is extremely risky. Avoid such trading strategies.

In case of any issues / concerns, contact your Stockbroker. If you are not satisfied or do not receive any response, contact the Exchange on ignse@nse.co.in or 1800 266 0050.

  • Trades carried outside the Stock Exchange mechanism by unregistered entities / persons are referred to as “Dabba trading.”
  • Organizing, assisting in organizing or participating in “Dabba trading” is illegal, prohibited by law and a punishable offence.
  • Any such dealing is not eligible for any compensation/claim/support from the Exchange.
  • Investors are advised to deal only with SEBI registered Intermediaries.

You may report such practices to us on Feedbk_invg@nse.co.in, or call us on 1800 22 0059

  • Email id and mobile number is mandatory, and you must provide the same to your broker for updating in Exchange records.
  • Any change in your contact details viz. Mobile number/Email ID must be immediately updated with your stockbroker.

In case of any issues / concerns, contact your Stockbroker. If you are not satisfied or do not receive any response, contact the Exchange on ignse@nse.co.in or 1800 266 0050.

  • Always remember to read and understand all documents including 'Additional Rights and Obligations' - Internet Based Trading agreement (IBT) before signing
  • Use Multi-factor Authentication like user id and password along with OTP or security token or biometric authentication.
  • Always use a secure internet connection and remember to log out after every trading session.
  • Always ensure that you have an updated trading app, a good antivirus installed on your device.
  • Do not share the user id, password, or OTP of your demat / trading account to anybody.
  • Always type in the link of trading website and look for the padlock symbol or 'https' in the status bar of your web browser
  • PoA is a legal authority given to your stockbroker and Depository Participants to operate the client’s demat account and bank account for the limited purpose of
  • Meeting pay-in obligations for delivery and settlement of trades executed by them.
  • Pledging / re-pledging of securities in favour of the stockbroker / clearing member (CM) for the purpose of meeting margin requirements
  • To apply for various products like Mutual Funds, Public Issues, rights, offer of shares, tendering shares pursuant to the instructions of the Client.
  • Transfer of funds from the bank account(s) of the clients for meeting the settlement obligations of the client(s)/ margin requirements of the client(s), For recovering any outstanding amount or dues
  • POA should be executed only in favour of the stockbroker and Depository Participants. It is a non-mandatory document.
  • POA can be revoked or cancelled at any time after giving required notice.
  • It cannot be insisted upon for opening of the client account.
  • Make sure to receive a duplicate copy of the PoA after execution.

POA CANNOT be given for the following

  • In the name of any employee or representative of the Stockbroker/Depository Participant.
  • Transfer of securities for off market trades.
  • Transfer of funds from the bank account(s) of the Clients for trades executed through another stockbroker.
  • Open a broking / trading facility with any stockbroker
  • Execute trades in the name of the client without his consent
  • Merging of balances (dues) under various accounts to nullify debit in any other account.
  • Open an email ID/ email account on behalf of the client

In case of any issues / concerns, contact your Stockbroker/ Depository Participant. If you are not satisfied or do not receive any response, contact the Exchange/ Depository.

  • There is no such thing as risk free investment
  • Risk and Return relationship is a trade-off
  • Risk cannot be eliminated. It can be managed. Diversification is one such way.
  • Risk and investing go hand in hand. Risk comes with potential for rewards from investing.
  • Once you invest in an asset class you should monitor your investments
  • Always check the potential risks and do proper due diligence when promised returns are unusually high.
  • Verify the details with the account opening form received including the tariff sheet with all charges received free of charge within 7 days from the date of execution of documents

In case of any issues / concerns, contact your Stockbroker. If you are not satisfied or do not receive any response, contact the Exchange on ignse@nse.co.in or 1800 266 0050.

  • If you have any dispute with trading member, kindly complain in writing to the stockbroker.
  • Retain copies of your letter and all related correspondence done with the stockbroker.
  • If the stockbroker does not / redress the complaint, file a complaint with NSE or SEBI SCORES
  • Investors must be aware of unauthorized brokers, who may not be SEBI registered entities.
  • Check for SEBI registration number of the stockbroker. It allows recourse to regulatory action.
  • Check for Regulatory actions against the stockbroker by SEBI/Exchanges and the details of complaints against the Stockbroker.
  • Seek details of brokerage and all other charges charged by the stockbroker.
  • Clarify the facilities offered by the stockbroker like modes of trading, application for IPO, Advisory & Research Facilities and Tools available for Education/Learning, etc
  • Complete the Know Your Client (KYC) Form, read through Mandatory & Voluntary client registration document, Risk Disclosure Document (RDD) and execute them.
  • Please provide proof of your identity, proof of your address, Permanent Account Number (PAN) card, Aadhar Card and Bank account details.
  • In case you choose to open account online keeps your signature image ready and ensure your camera / web is working.
  • Get a Unique Client Code allotted by the Trading Member to you
  • Before handing over the documents to Trading Member or his authorized representative retain a copy of all documents for your future reference.
  • Receive all the documents executed including the tariff sheet with all charges, free of charge, within 7 days from the date of execution of documents

In case of any issues / concerns, contact your Stockbroker. If you are not satisfied or do not receive any response, contact the Exchange on ignse@nse.co.in or 1800 266 0050.

  • A Right Equity Share is issued by a company to its existing shareholders as a ratio to the number of securities held on a pre-determined record date.
  • A shareholder has the option to either subscribe for Rights shares or refuse it and just let the 'right' lapse.
  • The Rights Entitlement shares can also be traded in favour of another person for a price.
  • Make sure you know the difference between Right Equity Shares and Right Entitlements before trading.
  • In case you buy Rights Entitlements (REs) shares, remember to subscribe on or before the Issue Closing Date.
  • Rights Entitlements (REs) which are not subscribed within the specified time limit lapse and the trading in REs stand suspended.

In case of any issues / concerns, contact your Stockbroker. If you are not satisfied or do not receive any response, contact the Exchange on ignse@nse.co.in or 1800 266 0050.

  • Investors should not keep funds idle with the Trading Member.
  • The Trading member should transfer the funds to the investor within 1 working day of the pay-out from the Exchange unless the investor chooses to maintain a "Running account of funds".
  • From October 2022 onwards, the settlement of running account of funds shall be done by the Trading Member on first Friday of the month or first Friday of the quarter as per the preference of the investor.
  • Investors who have a credit balance in the trading account and not traded in the last 30 calendar days, the credit balance shall be returned to the investors by Trading Member.
  • In case a Trading Member is disabled for any regulatory action, no compensation shall be paid from IPF if there are no trades in the account in the last 90 day before disablement.
  • TM shall accept collateral from the clients in the form of securities only by way of ‘margin pledge’ created in the Depository system. Settlement of running account for securities and transfer of securities to the Trading member for margin purposes has been discontinued.
  • Don't ignore any emails/SMSs received from the Exchanges and Depositories for trades done by you. Verify the same with the Contract notes/Statement of accounts/Demat statement and report discrepancy.

In case of any issues / concerns, contact your Stockbroker. If you are not satisfied or do not receive any response, contact the Exchange on ignse@nse.co.in or 1800 266 0050.

Updated on: 30/01/2023