Investment Awareness

1. Beware of fixed/guaranteed/regular returns/ capital protection schemes. Brokers or their authorized persons or any of their associates are not authorized to offer fixed/guaranteed/regular returns/ capital protection on your investment or authorized to enter into any loan agreement with you to pay interest on the funds offered by you. Please note that in case of default of a member claim for funds or securities given to the broker under any arrangement/ agreement of indicative return will not be accepted by the relevant Committee of the Exchange as per the approved norms.

2. Do not keep funds idle with the Stock Broker. Please note that your stock broker has to return the credit balance lying with them, within three working days in case you have not done any transaction within the last 30 calendar days. Please note that in case of default of a Member, claim for funds and securities, without any transaction on the exchange will not be accepted by the relevant Committee of the Exchange as per the approved norms.

3. Check the frequency of accounts settlement opted for. If you have opted for a running account, please ensure that your broker settles your account and, in any case, not later than once in 90 days (or 30 days if you have opted for 30 days settlement). In case of declaration of a trading member as defaulter, the claims of clients against such a defaulter member would be subject to norms for eligibility of claims for compensation from IPF to the clients of the defaulter member. These norms are available on the Exchange website at the following link: https://www.nseindia.com/invest/about-defaulter-section.

4. Brokers are not permitted to accept transfer of securities as margin. Securities offered as margin/ collateral MUST remain in the account of the client and can be pledged to the broker only by way of ‘margin pledge’, created in the Depository system. Clients are not permitted to place any securities with the broker or associate of the broker or authorized person of the broker for any reason. Brokers can take securities belonging to clients only for settlement of securities sold by the client.

5. Always keep your contact details viz. Mobile number/Email ID updated with the stock broker. Email and mobile number is mandatory and you must provide the same to your broker for updating in Exchange records. You must immediately take up the matter with Stock Broker/Exchange if you are not receiving the messages from Exchange/Depositories regularly.

6. Don't ignore any emails/SMSs received from the Exchange for trades done by you. Verify the same with the Contract notes/Statement of accounts received from your broker and report discrepancy, if any, to your broker in writing immediately and if the Stock Broker does not respond, please take this up with the Exchange/Depositories forthwith.

7. Check messages sent by Exchanges on a weekly basis regarding funds and securities balances reported by the trading member, compare it with the weekly statement of account sent by the broker and immediately raise a concern to the exchange if you notice a discrepancy.

8. Please do not transfer funds, for the purposes of trading to anyone, including an authorized person or an associate of the broker, other than a SEBI registered Stock broker.”

1. Stock Brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 1, 2020.

2. Update your mobile number & email Id with your stock broker/depository participant and receive OTP directly from the depository on your email id and/or mobile number to create a pledge.

3. Pay 20% upfront margin of the transaction value to trade in the cash market segment.

4. Investors may please refer to the Exchange's Frequently Asked Questions (FAQs) issued via circular reference NSE/INSP/45191 dated July 31, 2020 and NSE/INSP/45534 dated August 31, 2020 and other guidelines issued from time to time in this regard.

5. Check your Securities /MF/ Bonds in the consolidated account statement issued by NSDL/CDSL every month (in case of transactions in the previous month) or every 6 months (in case there are no transactions), as the case may be.

All investors are requested to take note that 6 KYC attributes i.e. Name, PAN, Address, Mobile Number, Email id and Income Range have been made mandatory. Investors availing custodian services will be additionally required to update the custodian details.

The last date to update KYC is on or before 30th June, 2022.
Thereafter non-compliant trading accounts will be blocked for trading by the Exchange.

The non-compliant demat accounts will be frozen for debits by Depository Participant or Depository.

On submission of the necessary information to the stockbroker and update of the same by the stockbroker in the Exchange systems and approval by the Exchange, the blocked trading accounts shall be unblocked by the Exchange on T+1 trading day.

The demat account shall be unfreezed once the investor submits the deficient KYC details and the same is captured by the depository participant in the depository system.

To ensure smooth settlement of trades, the investors are requested to ensure that both the trading and demat accounts are compliant with respect to the KYC requirement.

The investors are hereby requested to comply with the regulatory guidelines issued by Exchanges and Depositories from time to time with regard to KYC compliance and related requirements.

Investor Education and Protection Fund (IEPF) is for the promotion of investors’ awareness and protection of the interests of investors. The IEPF Authority ensures that the investor's wealth is in no way misused or misappropriated.

According to the IEPF (Accounting, Audit, Transfer, and Refund) Rules, 2016, all shares in respect of which the dividend has not been claimed for seven consecutive years or more by the shareholders of the concerned companies are required to be transferred to the Demat account of IEPF Authority.

The dividends declared by companies whose shares you own are directly credited to your bank account linked with your Demat account by the Registrar and Share Transfer Agent (RTA). If there is a discrepancy in your bank account details, the dividend will not get credited.

To avoid the transfer of shares from your Demat account to the IEPF Authority, we urge you to ensure that your bank account details including IFSC and MICR and are correctly updated in the Demat account.

Given the above, you are requested to ensure the following to avoid the transfer of shares from your Demat account to the IEPF Authority
Core banking account number, IFSC, and MICR of your bank account are updated in your Demat account.

For all the shares held by you (Demat/physical), declared dividends are received in your Bank Account.

As per the provisions of Section 124 of the Companies Act, 2013 and the Investor Education and Protection Fund Authority Rules, 2016, a company’s shareholders can get a refund of their unclaimed shares transferred to the Investor Education and Protection Fund (IEPF) by a company. In case any of your shares have already been transferred to IEPF Authority and you want to claim the shares/Dividend(s) after its transfer to IEPF, a separate application has to be made to the authority in Form IEPF-5, as prescribed under the IEPF Rules and same is available at www.iepf.gov.in.

We would like to inform you that it has come to the notice of the Exchanges that unsolicited messages are being sent to investors by unregistered or unauthorized entities, via social media platforms like WhatsApp, Telegram and other apps, encouraging them to deal in stocks and F&O contracts.

As your trusted investment services company, o3 Securities would like to advise you to remain cautious about such unsolicited messages and to abstain from dealing in any schemes of unauthorized collective investments/portfolio management, indicative/guaranteed/fixed returns/payments, etc.

Keeping your best interests as our top priority, we would like to advise you to make informed investment decisions and following best practices listed below:

Do not share your trading credentials with anyone – Login ID and Passwords, trading strategies, or position

Refrain from trading in leveraged products like options without proper understanding, as it could lead to losses

Writing/selling options or trading in option strategies based on tips, without basic knowledge and understanding of the product, is highly risky and can lead to huge losses. Analyze risk-return before making any investment decision.

Refrain from trading/investing based on unsolicited tips through WhatsApp, Telegram, YouTube, Facebook, SMS, calls, etc.

Refrain from trading in options based on recommendations from unauthorized/unregistered investment advisors.

If you have any queries, please do not hesitate to contact us. We look forward to a continued relationship and assure you the best of our services.

Our Customer Care Number: +91 80 4241 0000

E- mail: helpdesk@o3securities.com

SEBI via circular SEBI/HO/MRD2_DCAP/CIR/2021/0598 dated July 20, 2021 has put in place a framework for Segregation and Monitoring of Collateral at Client Level.

In accordance with aforesaid circular and with a view to provide visibility of client-wise collateral, Clearing Corporations have provided a web portal facility to allow investors to view their disaggregated collateral placed with Member and as reported by their registered Trading Member /Clearing Member.

 NCL/CMPL/49764 dated September 29, 2021

The said facility will provide the following benefits:

Investors can verify/ validate the collaterals deposited by them with the members vis-à-vis the collaterals reported by members to clearing corporations.

Investors can also view break-ups of their collateral lying with the trading member, clearing member and clearing corporations.
Visibility through a web portal will bring transparency with respect to their collateral placed with trading members on a daily basis in a seamless manner.

Members are expected to submit the collateral details as at the end of business on a given day (say T) before 5:00 PM on the next working day (T+1). Thus, the collateral details as reported by the Member for the registered investor would be available for viewing after 5:00 PM.

Investors can register with the respective clearing corporations and view the collateral details reported by the members for the previous five days.

Investors are requested to ensure that their email address and mobile number are updated by their Trading Members in UCI System of the Exchanges, as the same would be validated at the time of user registration to view the collateral details.
Investors may note that collaterals placed with Trading Member/Clearing Member in one form (e.g. cash) may have been passed on by the Trading Member to Clearing Member or by the Clearing Member to the Clearing Corporations in any other form (e.g. fixed deposit/ bank guarantee).

Investors are urged to regularly view the details of their collateral available with the respective clearing corporations and in case Investors find any discrepancy in the collateral deposited by them with their members and as reported by respective trading members/clearing members to clearing corporations, they are advised to take up the matter immediately with their trading member. In case of non-resolution of discrepancy by the trading member, Investors may intimate the same to the Exchange at email id ignse@nse.co.in/toll free number 18002660050 (Option 5) or register an online complaint at

 https://www.nseindia.com/invest/download-complaint-form-for-offline-registration