Always deal with the registered Broker / Authorized Person of SEBI / Stock Exchanges. Verify the credentials of the Broker / Authorized Person on the SEBI/ Exchange Website.
Give clear and unambiguous instructions/ orders to your Broker / Authorized Person.
Always insist on contract notes from the Broker within 24 hours of the execution of the trade.
Verify all details in contract notes, immediately upon receipt. Verify the genuineness of the transaction on BSE/NSE website. Bring any discrepancy to the notice of Broker immediately.
Register and update correct mobile no. and email id with your Broker to receive regular transactional alerts send by BSE/ NSE and trade confirmation for your transactions at the end of trading days through SMS or email.
Ensure to update / inform your financial information with proof on a yearly basis to your Broker.
Ensure that you have money before you buy and hold securities before you sell.
Always make payments and transfer funds in the name of SEBI Registered Stock Broker for the purposes of trading through normal banking channels viz. via cheque, NEFT and RTGS mode only favouring Sushil Financial Services Private Limited.
Always keep physical/soft copies of all your important documents send/received to/from Broker (e.g. Executed KYC, Acknowledgements slips, Contract Notes, etc.). Ensure to go through the investor charter for stock brokers.
Always verify your Quarterly Statement of Account sent by Sushil Finance
Keep track of your portfolio in your Demat A/c on a regular basis
Be cautious about stocks which show a sudden spurt in price or trading activity, especially low price stocks, GSM stocks, illiquid stocks S+ framework, etc.
In case of any dispute/difference/grievance, contact the Compliance Officer of broker at their designated Grievance email id as available on the website of broker
Don't deal with unregistered Brokers / Authorized Persons/Portfolio Management Services (PMS)/Investment Advisor (IA)/Research Analyst (RA), or anyother unregistered intermediaries.
Do not give wrong/contradictory/incomplete information in the client registration form
Do not reveal and share your trading and demat account login and passwords with anyone. Do not also share OTPs received in connection with trading and demat account transactions.
Do not allow others to trade in your account. Do not trade in anybody else account
Do not pay money to anyone to trade on your behalf for any assured / guaranteed or fixed returns.
Beware of fixed/guaranteed returns schemes. Brokers or any of their representatives are not authorized to offer fixed/guaranteed returns on your investment or enter into any loan agreement to pay interest on the funds/securities/commodities offered by you.
Do not be influenced by advertisement/advices /rumors/ promises/ SMS/unauthentic news promising unrealistic gains and windfall profits in mass media. Don't deal based on rumours or 'tips'.
Do not fall prey to fraudsters sending emails and SMSs luring to trade in securities/stocks promising huge profits
No payment should be made in the name of Authorized Persons, employees and staff of Broker / Authorized Person etc.
Not to indulge in cash dealing activity with your Authorized Person.
Do not engage in practices that mislead demand / prices artificially.
Do not participate in unauthorized and illegal trades outside the Stock Exchange mechanism (dabba trading)
Don't blindly imitate investment decisions of others who may have profited from their investment decisions.
Do not follow herd mentality for investments. Seek expert and professional advice for your investments.
