SEBI Stock Broker Charter

1. VISION

To follow highest standards of ethics and compliances while facilitating the trading

by clients in securities in a fair and transparent manner, so as to contribute in

creation of wealth for investors.

2. MISSION

i) To provide high quality and dependable service through innovation, capacity

enhancement and use of technology.

ii) To establish and maintain a relationship of trust and ethics with the i nvestors.

3. Services provided to Investors by stockbrokers include

I. Execution of trades on behalf of investors.

II. Issuance of Contract Note s.

III. Issuance of intimations regarding margin due payments.

4. Rights of Investors

I. Ask for and receive information from a firm about the work history and

background of the person handling your account, as well as information about

the firm itself (including website providing mandatory information).

5. Various activities of Stock Brokers with timelines

S.No. Activities Expected Timelines

1. KYC entered into KRA System

and CKYCR 3 working days of account opening

3. Order execution Immediate on receipt of order, but not

later than the same day

5. Copy of duly completed Client

Registration Documents to clients 7 days from the date of upload of

Unique Client Code to the Exchange

by the trading member