At Trade with Saurabh, we take regulatory compliance and investor protection very seriously. As a registered stockbroker, we adhere to the highest standards set forth by regulatory bodies to ensure transparency, fairness, and security for all our clients. Below is an overview of our regulatory licenses, legal disclosures, and key policies that govern our operations.
Regulatory Licenses & Memberships
We are fully licensed and regulated by relevant authorities to provide stockbroking services in compliance with the law. Our memberships and registrations include:
- SEBI Registration:
We are registered with the Securities and Exchange Board of India (SEBI), the primary regulatory authority overseeing the securities markets in India. Our SEBI registration number is [Insert SEBI Number], allowing us to offer stockbroking and investment advisory services in accordance with SEBI guidelines. - NSE Membership:
We are a member of the National Stock Exchange of India (NSE), providing access to a wide range of equities, derivatives, and other financial products. Our NSE Membership number is [Insert NSE Membership Number]. - BSE Membership:
We are also a member of the Bombay Stock Exchange (BSE), ensuring clients can trade across various asset classes listed on one of Asia’s oldest stock exchanges. Our BSE Membership number is [Insert BSE Membership Number]. - Depository Participant:
As a registered Depository Participant (DP) with [NSDL/CDSL], we offer seamless Demat account services for the safe custody of your securities.
Terms & Conditions
By using our website and brokerage services, you agree to abide by our Terms & Conditions. These outline your rights and obligations as a client, as well as our responsibilities as a brokerage firm. Key points covered include:
- Usage of our trading platforms.
- Brokerage charges and fees.
- Dispute resolution processes.
- Limitations of liability.
Risk Disclosure
Investing in the stock market involves risk. Our Risk Disclosure statement outlines the potential risks associated with trading in equities, derivatives, and other financial instruments. It is important to understand that:
- Market conditions can lead to the fluctuation of asset values.
- Trading on margin or in derivative products carries heightened risk.
- Past performance is not indicative of future results.
Investor Protection
As part of our commitment to protecting our clients’ interests, we follow strict guidelines related to investor protection:
- Client Segregation: We maintain a clear separation between client funds and company funds to safeguard your investments.
- Grievance Redressal Mechanism: If you encounter any issues, we provide a transparent complaint handling system. You can file a complaint or contact our compliance team at [saurabhpandey8000@gmail.com].
Anti-Money Laundering (AML) Policy
We are committed to fighting financial crime and have implemented a robust Anti-Money Laundering (AML) Policy. Our AML measures include:
- Monitoring of Transactions: All client transactions are monitored to identify suspicious activities that may indicate money laundering or terrorist financing.
- Reporting: Any unusual transactions are reported to the relevant authorities as required by law.
Know Your Customer (KYC) Policy
As a SEBI-registered broker, we adhere to stringent Know Your Customer (KYC) norms to verify the identity of all our clients before opening an account. This ensures that our platform is not used for fraudulent or illegal activities. As part of the KYC process, you will be required to submit:
- Proof of Identity (e.g., PAN card, Aadhaar).
- Proof of Address (e.g., utility bills, passport).
By complying with these regulatory requirements and maintaining the highest standards of integrity, Trade with Saurabh we ensures a secure, reliable, and transparent trading environment for all our clients. Should you have any queries regarding our compliance policies, please feel free to contact [saurabhpandet8000@gmail.com].
