Standard Operating Procedure (SOP) for Processing Surveillance Alerts for Depository Participant
|
Policy for Same Mobile Number and/or email address captured for multiple accounts
|
Policy for voluntary Freezing/Blocking of Trading Accounts by Clients
|
Surveillance Policy
|
Client Registration Documents (Rights & Obligations, Risk Disclosure Document, Do's & Don't's) in Vernacular Language
|
Prohibition of Insider Trading
|
Securities Operation and Risk Management (SORM) Policy
|
Pre-funded instruments
|
Privacy Policy
|
Grievance Redressal Forums
|