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Policies and Procedures

Dealing in Penny Stocks

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Client’s Exposure Limit

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Brokerage Rate

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Penalty / Delayed payment Charges by either party

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Sell of Securities or Closing Open Position

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Shortages in Obligation and Internal Auction

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Restrictions / Prohibition to take further position or closing existing position

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Suspension / Deregistering of Client Account

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Policy for Dormant / In-active account

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Insider Trading Policy

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Policy of PMLA ACT, 2002

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Risk Management System

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Internal Controls

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Client Code Modification

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Investor Complaint Redressal Mechanism

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Circulation Of Unauthenticated News

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