B.N.Rathi Securities Ltd.

BROKERS NORMS

Investor Contacts

The MEMBER may insist the CLIENT to deposit interest-free margin money as a percentage of the price of securities proposed to be purchased, unless the CLIENT already has an equivalent credit with the MEMBER.
The MEMBER may insist the CLIENT to deposit interest-free margin money as a percentage on the price of securities proposed to be sold, unless the MEMBER has received from the CLIENT the securities in its pool account prior to such sale or has received the securities with valid transfer documents to the Member’s satisfaction prior to such sale.
The CLIENT authorizes the MEMBER to set off a part or whole of the Margin i.e by way of appropriation of the relevant amount of cash or by sale or transfer or pledge of all or some of the securities which form part of the margin, against any dues of the CLIENT in the event of the failure of the CLIENT to meet his obligations.
In case where the payment by the CLIENT towards the margin is made through a Cheque issued in favour of the MEMBER, any trade(s) would be executed by the MEMBER only upon realisation of the funds of the said Cheque or at the discretion of the MEMBER.
The CLIENT agrees and authorizes the MEMBER to determine the market value of securities placed as Margin. The CLIENT undertakes to monitor the market value of such securities on a continuous basis. The CLIENT further undertakes to replenish any shortfall in the value of the margin consequent to a fall in the market value of such securities placed as margin immediately whether or not the MEMBER intimates such shortfall.
The MEMBER may at its sole discretion prescribe the payment of margin in the form of cash instead of securities. The CLIENT accepts to comply with the Member’s requirement of payment of Margin, failing which the MEMBER may sell, dispose, transfer or deal in any other manner the securities already placed with it as Margin or square off all or some of the positions of the CLIENT as it deems fit in its discretion without further reference to the CLIENT and any resultant or associated losses that may occur due to such square off/sale shall be borne by the CLIENT, and the MEMBER is hereby fully indemnified and held harmless by the CLIENT in this behalf.
The CLIENT is responsible for all orders, including any orders that may be executed without the required margin in the Client’s account. If the Client’s order is executed despite a shortfall in the available margin, the CLIENT shall, whether or not the MEMBER intimates such shortfall in Margin to the CLIENT, instantaneously make up the shortfall either through delivery of shares in the event of a sale or credit the required funds in the bank account via wire or personal cheque, cashier’s cheque or money order or account transfer or any other mode.
The Client’s positions are valued at the latest market price available (mark to market) on a continuous basis by the MEMBER. If on such mark to market, the loss incurred by the CLIENT is more than the Margin available with the MEMBER , the CLIENT shall instantaneously pay the additional Margin.

Investor Alert

1) 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. 2) For Stock Broking Transaction '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. 3) For Depository Transaction '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/NSDL on the same day...Issued in the interest of investors. 4) 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. 5) Investors should be cautious on unsolicited emails and SMS advising to buy, sell or hold securities and trade only on the basis of informed decision. Investors are advised to invest after conducting appropriate analysis of respective companies and not to blindly follow unfounded rumours, tips etc. Further, you are also requested to share your knowledge or evidence of systemic wrongdoing, potential frauds or unethical behaviour through the anonymous portal facility provided on BSE & NSE website. 6) This is to inform that we B N Rathi securities Ltd not required to have a Business Continuity/DR plan under the existing regulatory provisions.

ATTENTION INVESTORS | KYC | IPO

Prevent Unauthorised transactions in your Trading/Demat Account. Update your mobile numbers/email IDs with your stock brokers/DP. Receive information of your transactions directly from Exchanges/Depositories on your mobile/email at the end of the day. 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......Issued in the interest of investors. SEBI Circular - Investor Grievance Redress Mechanism - New Policy Measures. Kindly refer at Policies.

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

REGISTRATION NOS: SEBI Registration No: INZ000160834 (BSE-3233 | NSE-07141| MCX-56475) CDSL : SEBI Regn No. IN-DP-612-2021. AMFI-Registered Mutual Fund Distributor: B.N.Rathi Securities Ltd - ARN-77516: (B.N.Rathi is just acting as distributor. All disputes with respect to the distribution activity, would not have access to Exchange investor redressal forum or Arbitration mechanism.) CIN: L65993TG1985PLC005838

GRIEVANCE CONTACT Investor Grievance Contact: investorgrievances@bnrsecurities.com | DP Investor Grievance: investorgrievances@bnrsecurities.com Investor Protection and Arbitration Exchange Circulars and Rules - NSE,BSE and MCX.

In case of member having a website, member has created awareness amongst clients / investors with regard to procedure of pledge/ re-pledge of securities and displayed the guidelines on the homepage of their respective websites at a prominent place as required in Exchange circular ref no. NSE/INSP/45565 dated Sep 02,2020 Trading members had displayed the set of standard documents/policies on their own website for information.

SEBI SCORES LETTER OF AUTHORITY BROKERS NORMS RMS POLICY PMLA-POLICY SURVEILLANCE POLICY KYC MANDATORY - 6 ATTRIBUTES EVoting CDSL EVoting NSDL

DISCLAIMER INACTIVE CLIENT POLICY PRIVACY POLICY TERMS & CONDITIONS COMPANY POLICIES INVESTOR GRIEVANCE REDRESSAL POLICY INVESTOR CHARTER INVESTOR CHARTER - DP INVESTOR CHARTER - RESEARCH ANALYST INVESTOR CHARTER IGC MIS ADVISORY FOR INVESTORS BNRSL-DISCLAIMERS RESEARCH REPORTS