Downloads
NSE Sub-brokers converted to Authorised Persons in Equity segment As per SEBI circular SEBI/HO/MIRSD/DOP/CIR/P/2019/14 dated 11th Jan 2019, the concept of sub-brokers as an intermediary shall cease to exist with effect from April 01, 2019.
BSE Sub-brokers converted to Authorised Persons in Equity segment As per SEBI circular SEBI/HO/MIRSD/DOP/CIR/P/2019/14 dated 11th Jan 2019, the concept of sub-brokers as an intermediary shall cease to exist with effect from April 01, 2019. Thus all the existing sub-brokers will have to get mandatorily registered as an Authorised Persons (Aps)
NSE Sub-brokers converted to Authorised Persons in Equity segment As per SEBI circular SEBI/HO/MIRSD/DOP/CIR/P/2019/14 dated 11th Jan 2019, the concept of sub-brokers as an intermediary shall cease to exist with effect from April 01, 2019. Thus all the existing sub-brokers will have to get mandatorily registered as an Authorised Persons (Aps)
PMLA Policy PMLA Policy is framed with the objective to have a system in place for meeting the objectives of preventing any money laundering financial transaction
BSE Sub-brokers converted to Authorised Persons in Equity segment BSE Sub-brokers converted to Authorised Persons in Equity segment
NSE Sub-brokers converted to Authorised Persons in Equity segment BSE Sub-brokers converted to Authorised Persons in Equity segment
SEBI - Do's and Dont's Awareness about Secondary Markets to Investors
NSE - Investor Alerts and Investor Rights and Obligations Awareness about Investors Rights and Obligations and client protection and Alerts.
BSE - Do's and Dont's General DOs and DON'Ts for investors prescribed by BSE
NSE Sub-brokers converted to Authorised Persons in Equity segment NSE Sub-brokers converted to Authorised Persons in Equity segment -SEBI vide its circular dated CIR/MIRSD/10/2012 dated August 27, 2012 has smoothen the process for transition from sub-broker to Authorised Person. Details of such sub-brokers converted into Authorsied Persons are updated in this list for NSE.
BSE Sub-brokers converted to Authorised Persons in Equity segment SEBI vide its circular dated CIR/MIRSD/10/2012 dated August 27, 2012 has smoothen the process for transition from sub-broker to Authorised Person. Details of such sub-brokers converted into Authorsied Persons are updated in this list for BSE.
Observation / Caution letters based on trading pattern of trading members and their clients Exchange issues observation/caution letters to Members/clients for where prima facie unusual/abnormal trading activities.
POLICY-ON-UNAUTHENTICATED-NEWS To protect investors from unauthenticated news/rumours in circulation through various channels.

Registered Office : Sushil Financial Services Private Limited., 12, Homji Street Fort Mumbai-400 001 • Tel. No. +91-22-40936000 • Fax No. +91-22-22665758 • Email: info@sushilfinance.com

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. Receive alerts on your Registered Mobile number for all debit and other important transactions in your demat account directly from CDSL on the same day. 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.

Sushil Financial Services Private Limited - Member : BSE/ NSE. SEBI Registration No. - INZ000165135. Depository Participant (CDSL) SEBI Registration No.- IN DP CDSL 194-2002. Research Analyst SEBI Registration No.- INH000000867. Distributor of Mutual funds and IPO - ARN No.77875. SEBI Registration No. - INZ000025633 . Sushil Capital Private Limited - NBFC No. N -13.01901

© 2020 Sushil Finance. All rights reserved.